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.
K•••• M•••• P•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 11, 2017 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDJul 31, 2009 to Feb 1, 2017 · Carmel, In
- J••••• H•••••••• W••• L••••• L•• formerMay 21, 2004 to May 11, 2009 · Terre Haute, In
- A• G• E•••••• • S•••• I••• unclassifiedJun 28, 2001 to May 21, 2004 · Terre Haute, In
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 1, 2017, registered Mar 11, 2017 (38 days) · Other · moved with a team
- J••••• H•••••••• W••• L••••• L•• to R•••••• J•••• • A••••••••• I•••left May 11, 2009, registered Jul 31, 2009 (81 days) · Other
- A• G• E•••••• • S•••• I••• to J••••• H•••••••• W••• L••••• L••left May 21, 2004, registered May 21, 2004 (0 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