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••••• A••••• L••••••
- S•••••• C•••••• L•• independent RIA currentsince Mar 23, 2023 · Indianapolis, In
- S•••••• N••••••• • C••••••• I••••••••• national BDMar 30, 2021 to Mar 17, 2023 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedFeb 1, 2021 to Apr 9, 2021 · Northville, Mi
- W•• A•••••••• L•• formerJan 29, 2020 to Mar 30, 2021 · Northville, Mi
- C•••••• C••••• G••••• I••• no RAUMNov 26, 2013 to Apr 17, 2018 · Los Angeles, Ca
- S•••••• N••••••• • C••••••• I••••••••• to S•••••• C•••••• L••left Mar 17, 2023, registered Mar 23, 2023 (6 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- L•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Apr 9, 2021, registered Mar 30, 2021 (-10 days) · Affiliated broker-dealer or bank to another
- W•• A•••••••• L•• to L•• F•••••••• L••left Mar 30, 2021, registered Feb 1, 2021 (-57 days) · RIA to affiliated broker-dealer or bank
- C•••••• C••••• G••••• I••• to W•• A•••••••• L••left Apr 17, 2018, registered Jan 29, 2020 (652 days) · Other
- R••••• A••••• L•••••• left S•••••• N••••••• • C••••••• I••••••••• for S•••••• C•••••• L•• (registered 2023-03-23)Mar 17, 2023 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address