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.
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- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Dec 18, 2017 · Henderson, Ky
- V•••• F•••••••• A•••••••• I••• BD affiliatedJun 4, 2012 to Nov 17, 2017 · Carmel, In
- J••••• H•••••••• W••• L••••• L•• formerAug 9, 2002 to Jun 5, 2012 · Evansville, In
- N•••••• I••••••••• I••• unclassifiedJul 30, 2002 to Aug 14, 2002 · Evansville, In
- V•••• F•••••••• A•••••••• I••• to T••••••••• R••••••••• A•••••••• L••left Nov 17, 2017, registered Dec 18, 2017 (31 days) · Other
- J••••• H•••••••• W••• L••••• L•• to V•••• F•••••••• A•••••••• I•••left Jun 5, 2012, registered Jun 4, 2012 (-1 days) · Other
- N•••••• I••••••••• I••• to J••••• H•••••••• W••• L••••• L••left Aug 14, 2002, registered Aug 9, 2002 (-5 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address