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.
D•••• W•••• H••••
- C• I••••••••• L•• independent RIA currentsince Mar 29, 2018 · Auburn, In
- H•••• W••••• P••••••• formerJul 26, 2010 to Aug 15, 2018 · Auburn, In
- L•• F•••••••• L•• BD affiliatedSep 30, 2002 to Sep 18, 2020 · Bryan, Oh
- F•• A••••••• S••••••• I•• unclassifiedJan 1, 2001 to Oct 4, 2002 · Auburn, In
- L•• F•••••••• L•• to H•••• W••••• P•••••••left Sep 18, 2020, registered Jul 26, 2010 (-3707 days) · Other
- H•••• W••••• P••••••• to C• I••••••••• L••left Aug 15, 2018, registered Mar 29, 2018 (-139 days) · RIA to RIA · moved with a team
- F•• A••••••• S••••••• I•• to L•• F•••••••• L••left Oct 4, 2002, registered Sep 30, 2002 (-4 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address