RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
K•••• G• A••••••••
- E••••• J•••• national BD currentsince May 8, 2017 · Winchester, In
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 18, 2015 to May 15, 2017 · Portland, In
- L•• F•••••••• L•• BD affiliatedJan 24, 2012 to Feb 23, 2015 · Winchester, In
- Q•••• C•••••• S••••••••• I••• formerOct 27, 2010 to Dec 7, 2010 · Greenville, Oh
- C•••• I••••••••• S••••••• C•••• formerAug 1, 2008 to Nov 3, 2008 · Muncie, In
- S••••• M•••• A••••••• formerMar 10, 2004 to Nov 5, 2004 · Greenville, Oh
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to E••••• J••••left May 15, 2017, registered May 8, 2017 (-7 days) · Other
- L•• F•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 23, 2015, registered Feb 18, 2015 (-5 days) · Other
- Q•••• C•••••• S••••••••• I••• to L•• F•••••••• L••left Dec 7, 2010, registered Jan 24, 2012 (413 days) · Other
- C•••• I••••••••• S••••••• C•••• to Q•••• C•••••• S••••••••• I•••left Nov 3, 2008, registered Oct 27, 2010 (723 days) · Other
- S••••• M•••• A••••••• to C•••• I••••••••• S••••••• C••••left Nov 5, 2004, registered Aug 1, 2008 (1365 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address