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•••• J• H••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Indianapolis, In
- F•••• A••••• A••••••• S•••••••• I••• formerDec 18, 2013 to Nov 12, 2020 · San Diego, Ca
- I•••••••• C•••••• A••••••• formerFeb 3, 2005 to Jan 11, 2012 · Lynnfield, Ma
- E•••••• P•••• A••••••• I••• unclassifiedDec 12, 2002 to Dec 31, 2004 · Carmel, In
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- I•••••••• C•••••• A••••••• to F•••• A••••• A••••••• S•••••••• I•••left Jan 11, 2012, registered Dec 18, 2013 (707 days) · Other
- E•••••• P•••• A••••••• I••• to I•••••••• C•••••• A•••••••left Dec 31, 2004, registered Feb 3, 2005 (34 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
- 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