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.
K•••••••• W•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 6, 2025 · Burkesville, Ky
- P•• W••••• M••••••••• BD affiliatedSep 27, 2022 to Jan 28, 2025 · Burkesville, Ky
- U•• F•••••••• S••••••• I••• wirehouseDec 4, 2015 to Mar 25, 2021 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2008 to Dec 8, 2015 · Indianapolis, In
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJul 16, 2007 to Jun 3, 2008 · Fort Wayne, In
- A• G• E•••••• • S•••• I••• unclassifiedAug 10, 2005 to Jul 12, 2007 · Indianapolis, In
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 28, 2025, registered Feb 6, 2025 (9 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Mar 25, 2021, registered Sep 27, 2022 (551 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Dec 8, 2015, registered Dec 4, 2015 (-4 days) · Wirehouse to wirehouse · moved with a team
- T••••••• I••••••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 3, 2008, registered Jun 23, 2008 (20 days) · Other
- A• G• E•••••• • S•••• I••• to T••••••• I••••••••• M••••••••• I•••left Jul 12, 2007, registered Jul 16, 2007 (4 days) · Other
- K•••••••• W••••••••• left P•• W••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-02-06)Jan 28, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address