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.
M•••••• B•••• B••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Jun 24, 2022 · Brooklyn, Oh
- S••••• W••••• A•••••••• I••• no RAUMMar 15, 2017 to May 24, 2022 · Indianapolis, In
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 7, 2013 to Mar 9, 2017 · Carmel, In
- H•••••• F•••••••• A•••••••• L•• unclassifiedApr 19, 2011 to Nov 15, 2011 · Indianapolis, In
- S•••• F••• I••••••••• M••••••••• C•••• asset managerJul 11, 2008 to Dec 31, 2008 · Fortville, In
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 16, 2003 to Feb 18, 2005 · Birmingham, Al
- U•• F•••••••• S••••••• I••• wirehouseJan 12, 1999 to Jan 14, 2003 · Birmingham, Al
- S••••• W••••• A•••••••• I••• to K•• I••••••••• S••••••• L••left May 24, 2022, registered Jun 24, 2022 (31 days) · Other
- A••••• A•• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Mar 9, 2017, registered Mar 15, 2017 (6 days) · Other
- H•••••• F•••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Nov 15, 2011, registered Feb 7, 2013 (450 days) · Other
- S•••• F••• I••••••••• M••••••••• C•••• to H•••••• F•••••••• A•••••••• L••left Dec 31, 2008, registered Apr 19, 2011 (839 days) · Other
- M•• I•••••••• S•••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••left Feb 18, 2005, registered Jul 11, 2008 (1239 days) · Other
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left Jan 14, 2003, registered Jan 16, 2003 (2 days) · Other
- M•••••• B•••• B•••••• left S••••• W••••• A•••••••• I••• for K•• I••••••••• S••••••• L•• (registered 2022-06-24)May 24, 2022 · 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address