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.
A•••••• J••••• N•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 20, 2022 · Shelbyville, In
- P•• W••••• M••••••••• BD affiliatedMar 11, 2016 to Jun 30, 2022 · Indianapolis, In
- K•• I••••••••• S••••••• L•• BD affiliatedMay 20, 2015 to Mar 9, 2016 · Indianapolis, In
- F•••• T•••• S••••••••• I••• BD affiliatedMar 22, 2006 to Apr 13, 2015 · Greenwood, In
- P•• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 30, 2022, registered Jul 20, 2022 (20 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to P•• W••••• M•••••••••left Mar 9, 2016, registered Mar 11, 2016 (2 days) · Other
- F•••• T•••• S••••••••• I••• to K•• I••••••••• S••••••• L••left Apr 13, 2015, registered May 20, 2015 (37 days) · Other
- A•••••• J••••• N••• left P•• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-07-20)Jun 30, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address