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.
J•••• C••••••••• W•••••••
- E•••••••• A•••••••• L•• national BD currentsince Aug 13, 2019 · Carmel, In
- T••••••• I••••••••• M••••••••• I••• BD affiliatedSep 10, 2018 to May 31, 2019 · Carmel, In
- P•••••••• A••••••• national BDApr 24, 2018 to May 11, 2018 · Carmel, In
- J••• M••••• S••••••••• L•• wirehouseAug 5, 2014 to May 13, 2016 · Indianapolis, In
- F•••• T•••• S••••••••• I••• BD affiliatedSep 1, 2009 to Aug 25, 2014 · Grand Rapids, Mi
- C•••• I••••••••• S••••••• C•••• formerMay 25, 2006 to Sep 2, 2009 · Fishers, In
- T••••••• I••••••••• M••••••••• I••• to E•••••••• A•••••••• L••left May 31, 2019, registered Aug 13, 2019 (74 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to T••••••• I••••••••• M••••••••• I•••left May 11, 2018, registered Sep 10, 2018 (122 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to P•••••••• A•••••••left May 13, 2016, registered Apr 24, 2018 (711 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to J••• M••••• S••••••••• L••left Aug 25, 2014, registered Aug 5, 2014 (-20 days) · Other
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left Sep 2, 2009, registered Sep 1, 2009 (-1 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