RIA Intelligence

• F•••• P••••••• W•••••• L•• independent RIA current
  since Jul 1, 2024 · Indianapolis, In
• B••••••••• S•••••••• W•••••• L•• former
  Oct 28, 2014 to Nov 14, 2024 · Indianapolis, In
• H•••••• A•••••••• L•• former
  Feb 20, 2014 to Nov 19, 2014 · Indianapolis, In
• S••••• W••••• A•••••••• I••• no RAUM
  Jan 3, 2012 to Feb 10, 2014 · Indianapolis, In
• C•••••• S••••• • C••• I••• national BD
  Jan 30, 2003 to Dec 31, 2011 · Indianapolis, In

• B••••••••• S•••••••• W•••••• L•• to F•••• P••••••• W•••••• L••
  left Nov 14, 2024, registered Jul 1, 2024 (-136 days) · corporate re-registration, not a move
• H•••••• A•••••••• L•• to B••••••••• S•••••••• W•••••• L••
  left Nov 19, 2014, registered Oct 28, 2014 (-22 days) · channel change inside one enterprise, not a move
• S••••• W••••• A•••••••• I••• to H•••••• A•••••••• L••
  left Feb 10, 2014, registered Feb 20, 2014 (10 days) · Other
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Independent wealth managerderived

Years in industry

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address