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.
J••• T• M•••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Mar 9, 2026 · Evansville, In
- P••• A••••• S••••••••• L•• BD affiliatedAug 2, 2023 to Feb 28, 2026 · Wadesville, In
- F•••• T•••• S••••••••• I••• BD affiliatedApr 21, 2021 to Feb 6, 2023 · Henderson, Ky
- S••••••••• A•••••• A•••••••• I••• formerJan 2, 2019 to Apr 6, 2021 · Wadesville, In
- Q•••••• A•••• M••••••••• I••• formerOct 7, 2008 to Dec 31, 2018 · Minneapolis, Mn
- I••••• F•••••••• C••••••••• formerNov 30, 2005 to Aug 1, 2008 · Mount Vernon, In
- O•• I••••••••• S•••••••• I••• unclassifiedApr 26, 2005 to Dec 1, 2005 · Evansville, In
- A• G• E•••••• • S•••• I••• unclassifiedNov 20, 2001 to Apr 27, 2005 · Evansville, In
- F•••• T•••• S••••••••• I••• to P••• A••••• S••••••••• L••left Feb 6, 2023, registered Aug 2, 2023 (177 days) · Affiliated broker-dealer or bank to another
- S••••••••• A•••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••left Apr 6, 2021, registered Apr 21, 2021 (15 days) · Affiliated broker-dealer or bank to another
- Q•••••• A•••• M••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Dec 31, 2018, registered Jan 2, 2019 (2 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to Q•••••• A•••• M••••••••• I•••left Aug 1, 2008, registered Oct 7, 2008 (67 days) · Other
- O•• I••••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Dec 1, 2005, registered Nov 30, 2005 (-1 days) · Other
- A• G• E•••••• • S•••• I••• to O•• I••••••••• S•••••••• I•••left Apr 27, 2005, registered Apr 26, 2005 (-1 days) · Other
- J••• T• M••••• left F•••• T•••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2023-08-02)Feb 6, 2023 · Advisor changed firm · fact
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