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•••• K• N••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 3, 2023 · M••••••Ville, In
- W•••• F•••• A••••••• wirehouseSep 27, 2010 to Feb 9, 2023 · M••••••Ville, In
- Q•••••• A•••• M••••••••• I••• formerFeb 7, 2005 to Nov 10, 2005 · Valparaiso, In
- C•••••• F•••••••• A••••••• L•• independent RIAFeb 10, 2003 to Sep 27, 2010 · Valparaiso, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 2002 to Nov 12, 2002 · M••••••Ville, In
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 9, 2023, registered Feb 3, 2023 (-6 days) · Wirehouse to wirehouse
- C•••••• F•••••••• A••••••• L•• to Q•••••• A•••• M••••••••• I•••left Sep 27, 2010, registered Feb 7, 2005 (-2058 days) · Other
- Q•••••• A•••• M••••••••• I••• to W•••• F•••• A•••••••left Nov 10, 2005, registered Sep 27, 2010 (1782 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• F•••••••• A••••••• L••left Nov 12, 2002, registered Feb 10, 2003 (90 days) · Other
- D•••• K• N•••• left W•••• F•••• A••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-02-03)Feb 9, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address