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•••• D•••••• L•••••
- V••• F•••••••• A•••••••• I••• BD affiliated currentsince Nov 5, 2016 · Fishers, In
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 13, 2015 to Sep 21, 2016 · Carmel, In
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 12, 2012 to Mar 3, 2015 · Indianapolis, In
- T• A••••••••• I••• formerSep 12, 2012 to Mar 3, 2015 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 17, 2009 to Sep 4, 2012 · Indianapolis, In
- E••••• J•••• national BDNov 13, 2007 to Jul 1, 2009 · St Louis, Mo
- C••••• I••••••••• A••••••• L•• to V••• F•••••••• A•••••••• I•••left Sep 21, 2016, registered Nov 5, 2016 (45 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 3, 2015, registered Apr 13, 2015 (41 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 3, 2015, registered Sep 12, 2012 (-902 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left Sep 4, 2012, registered Sep 12, 2012 (8 days) · Other
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Jul 1, 2009, registered Jul 17, 2009 (16 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address