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•••• L•• P•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 28, 2017 · Indianapolis, In
- C••• S••••••••• C••••••••• formerApr 14, 2014 to Feb 28, 2017 · Indianapolis, In
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Apr 11, 2014 · Schaumburg, Il
- C••••• I••••••••• S••••••• L•• formerJun 18, 2010 to Jan 21, 2014 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 22, 2006 to Dec 5, 2008 · Indianapolis, In
- C••• S••••••••• C••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 28, 2017, registered Feb 28, 2017 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to C••• S••••••••• C•••••••••left Apr 11, 2014, registered Apr 14, 2014 (3 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• S••••••• L••left Dec 5, 2008, registered Jun 18, 2010 (560 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address