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.
S•••• E••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 11, 2017 · Noblesville, In
- M••••• S•••••• wirehouseNov 18, 2011 to Aug 14, 2017 · Indianapolis, In
- M••••• K••••• • C••••••• L•• formerJul 29, 2004 to Nov 18, 2011 · Indianapolis, In
- U•••• P••••••• I••••••••• A•••••••• I••• unclassifiedAug 16, 2001 to Aug 6, 2004 · Indianapolis, In
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 14, 2017, registered Aug 11, 2017 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• K••••• • C••••••• L•• to M••••• S••••••left Nov 18, 2011, registered Nov 18, 2011 (0 days) · Other
- U•••• P••••••• I••••••••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Aug 6, 2004, registered Jul 29, 2004 (-8 days) · corporate re-registration, not a move
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