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.
S••••• J• R••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 9, 2024 · Indianapolis, In
- P•• W••••• M••••••••• BD affiliatedApr 3, 2015 to May 14, 2024 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Apr 8, 2015 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 13, 2005 to Oct 1, 2012 · Indianapolis, In
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left May 14, 2024, registered May 9, 2024 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to P•• W••••• M•••••••••left Apr 8, 2015, registered Apr 3, 2015 (-5 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
- S••••• J• R•••••••• left P•• W••••• M••••••••• for W•••• F•••• A••••••• (registered 2024-05-09)May 14, 2024 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address