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.
R••••• M••••
- M•••• M••••• L•• state registered currentsince Mar 8, 2018 · South Bend, In
- F•••• H•••••••• C••••••••• I••• BD affiliatedJan 4, 2016 to Jun 12, 2017 · South Bend, In
- Q•• F•••••••• L•• unclassifiedDec 16, 2004 to Feb 11, 2011 · Omaha, Ne
- M•• F•••••••• S•••••••• I••• formerNov 15, 1999 to Dec 10, 2004 · Merrilville, In
- F•••• H•••••••• C••••••••• I••• to M•••• M••••• L••left Jun 12, 2017, registered Mar 8, 2018 (269 days) · Other
- Q•• F•••••••• L•• to F•••• H•••••••• C••••••••• I•••left Feb 11, 2011, registered Jan 4, 2016 (1788 days) · Other
- M•• F•••••••• S•••••••• I••• to Q•• F•••••••• L••left Dec 10, 2004, registered Dec 16, 2004 (6 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
- STATE REGISTEREDderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address