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.
T••• R••••• F••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Merrillville, In
- W••••••• F•••••••• S•••••••• I••• formerSep 27, 2016 to Jan 19, 2024 · Merrillville, In
- U•••••• I••••••••• M••••••••• L••••• independent RIAFeb 4, 2014 to Oct 19, 2016 · Skokie, Il
- P•••••••• W••••• C•••••• M••••••••• L•• unclassifiedFeb 8, 2012 to Mar 31, 2017 · Merrillville, In
- P•••••••• W••••• C•••••• M••••••••• L•• unclassifiedFeb 7, 2012 to Dec 31, 2013 · Merrillville, In
- O•••• W•••••• I••• BD affiliatedNov 2, 2006 to Dec 19, 2011 · Merrillville, In
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJul 25, 2002 to Feb 10, 2005 · Fishers , In
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- P•••••••• W••••• C•••••• M••••••••• L•• to U•••••• I••••••••• M••••••••• L•••••left Mar 31, 2017, registered Feb 4, 2014 (-1151 days) · Other · moved with a team
- U•••••• I••••••••• M••••••••• L••••• to W••••••• F•••••••• S•••••••• I•••left Oct 19, 2016, registered Sep 27, 2016 (-22 days) · Other
- O•••• W•••••• I••• to P•••••••• W••••• C•••••• M••••••••• L••left Dec 19, 2011, registered Feb 7, 2012 (50 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to O•••• W•••••• I•••left Feb 10, 2005, registered Nov 2, 2006 (630 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address