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.
A••••• C• D••••
- S••••••• F•••••••• I••••••••• A••••••• L•• institutional currentsince Dec 7, 2017 · Carmel, In
- C•••••• A••••••• BD affiliated currentsince Jan 2, 2015 · Carmel, In
- L•••••• I••••••••• independent RIA currentsince Jan 2, 2015 · Canton, Ga
- N•• A•••••• S•••••••• L•• formerAug 10, 2009 to Jan 12, 2015 · Carmel, In
- T••••••••• F•••••••• A•••••••• I••• unclassifiedJun 25, 1999 to Aug 11, 2009 · Columbus, In
- N•• A•••••• S•••••••• L•• to L•••••• I•••••••••left Jan 12, 2015, registered Jan 2, 2015 (-10 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to N•• A•••••• S•••••••• L••left Aug 11, 2009, registered Aug 10, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address