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•••• N••••• B••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 1, 2020 · Mooresville, In
- P•••• S••••••••• L•• no RAUMAug 15, 2019 to Jun 12, 2020 · Indianapolis, In
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJan 5, 2015 to Feb 25, 2019 · Indianapolis, In
- O••••••••• S••••••••• I••• BD affiliatedMar 26, 2013 to Jun 25, 2014 · Carmel, In
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 3, 2009 to Mar 4, 2013 · Indianapolis, In
- M•• F•••••••• S•••••••• I••• formerApr 12, 2006 to Feb 9, 2009 · Indianapolis, In
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 12, 2020, registered Jun 1, 2020 (-11 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to P•••• S••••••••• L••left Feb 25, 2019, registered Aug 15, 2019 (171 days) · Other
- O••••••••• S••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Jun 25, 2014, registered Jan 5, 2015 (194 days) · Other
- M•• I•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Mar 4, 2013, registered Mar 26, 2013 (22 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 9, 2009, registered Feb 3, 2009 (-6 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