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.
C••••• M•••••• S•••••••
- C••••• P••••••• L•• independent RIA currentsince Oct 1, 2024 · New York, Ny
- S•• W••••• M••••••••• formerJan 11, 2011 to Nov 25, 2024 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedOct 1, 2010 to Oct 29, 2015 · Indianapolis, In
- J••••• H•••••••• W••• L••••• L•• formerDec 13, 2005 to Oct 6, 2010 · Indianapolis, In
- S•• W••••• M••••••••• to C••••• P••••••• L••left Nov 25, 2024, registered Oct 1, 2024 (-55 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to S•• W••••• M•••••••••left Oct 29, 2015, registered Jan 11, 2011 (-1752 days) · Other
- J••••• H•••••••• W••• L••••• L•• to L•• F•••••••• L••left Oct 6, 2010, registered Oct 1, 2010 (-5 days) · Other
- C••••• M•••••• S••••••• left S•• W••••• M••••••••• for C••••• P••••••• L•• (registered 2024-10-01)Nov 25, 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address