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•••••• D•••• M••••••
- S•• B••• A•••••••• I••• i••••••••• wealth currentsince Apr 5, 2022 · Fort Wayne, In
- S• A•••••••• L•• i••••••••• wealth currentsince Jan 20, 2022 · Fort Wayne, In
- S•••• W••••• M••••••••• L•• BD affiliatedJan 5, 2022 to Jan 20, 2022 · Fort Wayne, In
- I••••••••• A•••••• A•••••••• L•• i••••••••• wealthFeb 7, 2018 to Jan 5, 2022 · Fort Wayne, In
- M•••••• A•••• M••••••••• L•• formerOct 1, 2014 to Feb 22, 2018 · Fort Wayne, In
- W•••• F•••• A••••••• wirehouseFeb 24, 2009 to Aug 6, 2014 · Fort Wayne, In
- F•••• T•••• S••••••••• I••• BD affiliatedNov 30, 2004 to Feb 6, 2009 · Cincinnati, Oh
- S•••• W••••• M••••••••• L•• to S• A•••••••• L••left Jan 20, 2022, registered Jan 20, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• A•••••• A•••••••• L•• to S•••• W••••• M••••••••• L••left Jan 5, 2022, registered Jan 5, 2022 (0 days) · RIA to affiliated broker-dealer or bank
- M•••••• A•••• M••••••••• L•• to I••••••••• A•••••• A•••••••• L••left Feb 22, 2018, registered Feb 7, 2018 (-15 days) · Other
- W•••• F•••• A••••••• to M•••••• A•••• M••••••••• L••left Aug 6, 2014, registered Oct 1, 2014 (56 days) · Other
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Feb 6, 2009, registered Feb 24, 2009 (18 days) · Other
- M•••••• D•••• M•••••• left S•••• W••••• M••••••••• L•• for S• A•••••••• L•• (registered 2022-01-20)Jan 20, 2022 · a•••••• firm change · fact
- M•••••• D•••• M•••••• left I••••••••• A•••••• A•••••••• L•• for S•••• W••••• M••••••••• L•• (registered 2022-01-05)Jan 5, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address