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••••• L• W••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 3, 2026 · Ramsey, In
- M••••••• I••••••••• N•••••• I••• BD affiliatedJul 28, 2003 to Jun 1, 2026 · Corydon, In
- D•• L• W•••• unclassifiedJan 6, 2003 to Nov 14, 2025 · Ramsey, In
- P•• A•••• M••••••••• I•• unclassifiedMar 5, 2001 to Sep 23, 2003 · Ramsey , In
- M••••••• I••••••••• N•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 1, 2026, registered Jun 3, 2026 (2 days) · Affiliated broker-dealer or bank to another
- D•• L• W•••• to M••••••• I••••••••• N•••••• I•••left Nov 14, 2025, registered Jul 28, 2003 (-8145 days) · Other
- P•• A•••• M••••••••• I•• to D•• L• W••••left Sep 23, 2003, registered Jan 6, 2003 (-260 days) · Other
- D••••• L• W•••• left M••••••• I••••••••• N•••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-06-03)Jun 1, 2026 · Advisor changed firm · fact
- D••••• L• W•••• left D•• L• W•••• for M••••••• I••••••••• N•••••• I••• (registered 2003-07-28)Nov 14, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address