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.
B•••• C••••••••• E•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Oct 28, 2016 · Greenwood, In
- J••••• H•••••••• W••• L••••• L•• formerJun 2, 2014 to Nov 2, 2016 · Franklin, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 26, 2004 to Jul 31, 2009 · Indianapolis, In
- J••••• H•••••••• W••• L••••• L•• to R•••••• J•••• • A••••••••• I•••left Nov 2, 2016, registered Oct 28, 2016 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• H•••••••• W••• L••••• L••left Jul 31, 2009, registered Jun 2, 2014 (1767 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address