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•••• R••••• J••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 30, 2017 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 11, 2008 to Dec 1, 2017 · Indianapolis, In
- J••••• H•••••••• W••• L••••• L•• formerFeb 3, 1999 to Apr 15, 2008 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 1, 2017, registered Nov 30, 2017 (-1 days) · Wirehouse to wirehouse · moved with a team
- J••••• H•••••••• W••• L••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 15, 2008, registered Apr 11, 2008 (-4 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address