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.
- E••••• J•••• national BD currentsince Mar 7, 2024 · South Bend, In
- I••••• F•••••••• C••••••••• formerMar 2, 2009 to Jun 8, 2009 · Elkhart, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Feb 4, 2009 · Elkhart, In
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Elkhart, In
- B••• O•• S••••••••• C••••••••• unclassifiedSep 25, 2002 to Sep 27, 2006 · Elkhart, In
- I••••• F•••••••• C••••••••• to E••••• J••••left Jun 8, 2009, registered Mar 7, 2024 (5386 days) · Other
- J••• M••••• S••••••••• L•• to I••••• F•••••••• C•••••••••left Feb 4, 2009, registered Mar 2, 2009 (26 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address