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.
L•••• J•• M•••
- S••••• O•• S••••••••• I••• BD affiliated currentsince Jan 2, 2025 · Clay City, In
- L•• F•••••••• L•• BD affiliatedJan 29, 2021 to Jan 14, 2025 · Jasonville, In
- S••••• O•• S••••••••• I••• BD affiliatedSep 27, 2018 to Feb 15, 2021 · Clay City, In
- S•• A•••••••• I••• formerDec 14, 2012 to Sep 23, 2018 · Clay City, In
- C•••••••• F•••••••• G•••• A••••••• formerNov 8, 2000 to Dec 21, 2012 · Clay City, In
- L•• F•••••••• L•• to S••••• O•• S••••••••• I•••left Jan 14, 2025, registered Jan 2, 2025 (-12 days) · Affiliated broker-dealer or bank to another
- S••••• O•• S••••••••• I••• to L•• F•••••••• L••left Feb 15, 2021, registered Jan 29, 2021 (-17 days) · Affiliated broker-dealer or bank to another
- S•• A•••••••• I••• to S••••• O•• S••••••••• I•••left Sep 23, 2018, registered Sep 27, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••••• F•••••••• G•••• A••••••• to S•• A•••••••• I•••left Dec 21, 2012, registered Dec 14, 2012 (-7 days) · Other
- L•••• J•• M••• left L•• F•••••••• L•• for S••••• O•• S••••••••• I••• (registered 2025-01-02)Jan 14, 2025 · 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
- 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