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.
J••••• L• W•••••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Nov 22, 2019 · Indianapolis, In
- G••••• R••••••••• P••••••• L•• institutionalDec 13, 2017 to Dec 3, 2019 · Indianapolis, In
- P•• W••••• M••••••••• BD affiliatedMar 8, 2016 to Dec 19, 2017 · Indianapolis, In
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 8, 2015 to Feb 26, 2016 · Carmel, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 15, 2015 · Zionsville, In
- C•••• I••••••••• S••••••• C•••• formerNov 29, 2011 to Oct 1, 2012 · Zionsville, In
- K•• I••••••••• S••••••• L•• BD affiliatedNov 27, 2007 to Nov 4, 2011 · Dayton, Oh
- N•••••• I••••••••• I••• unclassifiedJun 10, 2004 to Nov 20, 2007 · Lebanon, In
- B••• O•• S••••••••• C••••••••• unclassifiedMar 25, 2003 to Jun 3, 2004 · Indianapolis, In
- G••••• R••••••••• P••••••• L•• to F•••• T•••• S••••••••• I•••left Dec 3, 2019, registered Nov 22, 2019 (-11 days) · Other
- P•• W••••• M••••••••• to G••••• R••••••••• P••••••• L••left Dec 19, 2017, registered Dec 13, 2017 (-6 days) · Other
- C••••• I••••••••• A••••••• L•• to P•• W••••• M•••••••••left Feb 26, 2016, registered Mar 8, 2016 (11 days) · Other
- J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 15, 2015, registered Jul 8, 2015 (23 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- K•• I••••••••• S••••••• L•• to C•••• I••••••••• S••••••• C••••left Nov 4, 2011, registered Nov 29, 2011 (25 days) · Other
- N•••••• I••••••••• I••• to K•• I••••••••• S••••••• L••left Nov 20, 2007, registered Nov 27, 2007 (7 days) · Other
- B••• O•• S••••••••• C••••••••• to N•••••• I••••••••• I•••left Jun 3, 2004, registered Jun 10, 2004 (7 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