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.
L•••••• L••••• N••••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Jun 27, 2018 · Kokomo, In
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 8, 1999 to May 9, 2018 · Indianapolis, In
- T•• F•••••••• G••••• I••• unclassifiedMar 23, 1999 to Dec 31, 2006 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• to C••••••• F•••••••• D••••••• I•••left May 9, 2018, registered Jun 27, 2018 (49 days) · Affiliated broker-dealer or bank to another
- T•• F•••••••• G••••• I••• to M•• I•••••••• S•••••••• L••left Dec 31, 2006, registered Nov 8, 1999 (-2610 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address