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•••• C••• G••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 15, 2011 · Indianapolis, In
- A•••••••• I••••••••• M••••••••• L•• formerSep 9, 2009 to Feb 22, 2011 · West Lafayette, In
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJul 21, 2003 to Feb 11, 2011 · West Lafayette, In
- W••••• S••••• A••••••• I•• unclassifiedMay 4, 2000 to Jul 24, 2003 · Lafayette, In
- A•••••••• I••••••••• M••••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 22, 2011, registered Feb 15, 2011 (-7 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Feb 11, 2011, registered Sep 9, 2009 (-520 days) · Other
- W••••• S••••• A••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 24, 2003, registered Jul 21, 2003 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address