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.
M•••••• R•••••• W•••••
- M••••••• I••••••••• A•••••••• I••• independent RIA currentsince Apr 18, 2018 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseMay 2, 2016 to Apr 19, 2018 · Westfield, In
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Apr 22, 2016 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDJan 28, 2008 to Dec 31, 2011 · Indianapolis, In
- J••• M••••• S••••••••• L•• to M••••••• I••••••••• A•••••••• I•••left Apr 19, 2018, registered Apr 18, 2018 (-1 days) · Wirehouse to independent RIA
- S••••• W••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Apr 22, 2016, registered May 2, 2016 (10 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address