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••• Z•••••••••
- I••••••••• F•••••••• P••••••• BD affiliated currentsince Nov 2, 2021 · Tampa, Fl
- T••• I••••••••• A•••••••• L•• i••••••••• wealthOct 10, 2018 to Oct 20, 2021 · Carmel, In
- S••••• F•••••••• G•••• I•• formerApr 26, 2013 to Oct 16, 2018 · Carmel, In
- S•• A•••••••• I••• formerOct 1, 2012 to Apr 15, 2013 · Carmel, In
- C•••••••• F•••••••• G•••• A••••••• formerNov 14, 2006 to Oct 11, 2012 · Noblesville, In
- C••••••• F•••••••• D••••••• I••• BD affiliatedMar 8, 2005 to Nov 9, 2006 · Kokomo, In
- T••• I••••••••• A•••••••• L•• to I••••••••• F•••••••• P•••••••left Oct 20, 2021, registered Nov 2, 2021 (13 days) · RIA to affiliated broker-dealer or bank
- S••••• F•••••••• G•••• I•• to T••• I••••••••• A•••••••• L••left Oct 16, 2018, registered Oct 10, 2018 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- S•• A•••••••• I••• to S••••• F•••••••• G•••• I••left Apr 15, 2013, registered Apr 26, 2013 (11 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to S•• A•••••••• I•••left Oct 11, 2012, registered Oct 1, 2012 (-10 days) · Other
- C••••••• F•••••••• D••••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Nov 9, 2006, registered Nov 14, 2006 (5 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address