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.
B••••• T••••• W•••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Jun 17, 2019 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2008 to Jun 18, 2019 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDJun 28, 2001 to Sep 25, 2008 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Jun 18, 2019, registered Jun 17, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 25, 2008, registered Sep 25, 2008 (0 days) · Affiliated broker-dealer or bank to wirehouse
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