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.
J••••••• M•••••• S••••
- W••••• A••••••• S••••••••• L•• independent RIA currentsince Sep 28, 2019 · Zionsville, In
- W•••• F•••• A••••••• wirehouseApr 16, 2009 to Nov 18, 2019 · Indianapolis, In
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 2006 to May 5, 2009 · Indianapolis, In
- U•• F•••••••• S••••••• I••• wirehouseFeb 19, 2001 to May 25, 2006 · Indianapolis, In
- W•••• F•••• A••••••• to W••••• A••••••• S••••••••• L••left Nov 18, 2019, registered Sep 28, 2019 (-51 days) · Wirehouse to independent RIA · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 5, 2009, registered Apr 16, 2009 (-19 days) · Other
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left May 25, 2006, registered May 5, 2006 (-20 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address