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.
D•••••• E••••• M••••
- M•••• A•••• M••••••••• L•• state registered currentsince Sep 5, 2023 · Whiteland, In
- W••••••• P•••••••• L•• institutionalJun 27, 2019 to Aug 31, 2023 · Louisville, Ky
- A••••••••• F•••••••• S•••••••• L•• national BDMar 9, 2012 to Apr 23, 2019 · Indianapolis, In
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 5, 2008 to Apr 5, 2012 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 4, 2008 · Indianapolis, In
- B••• O•• S••••••••• C••••••••• unclassifiedNov 14, 2003 to Jul 6, 2005 · Indianapolis, In
- W••••••• P•••••••• L•• to M•••• A•••• M••••••••• L••left Aug 31, 2023, registered Sep 5, 2023 (5 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••••••• P•••••••• L••left Apr 23, 2019, registered Jun 27, 2019 (65 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• T•••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 5, 2012, registered Mar 9, 2012 (-27 days) · Other
- C•••• I••••••••• S••••••• C•••• to F•••• T•••• S••••••••• I•••left Feb 4, 2008, registered Feb 5, 2008 (1 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- D•••••• E••••• M•••• left W••••••• P•••••••• L•• for M•••• A•••• M••••••••• L•• (registered 2023-09-05)Aug 31, 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
- STATE REGISTEREDderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address