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••••• M•••••• W•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 21, 2020 · Noblesville, In
- O•••• F•• I••• formerAug 10, 2012 to Aug 21, 2020 · Noblesville, In
- W••••••• F•••••••• S•••••••• I••• formerApr 1, 2008 to Aug 16, 2012 · Noblesville, In
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 30, 2002 to Apr 2, 2008 · Noblesville, In
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 21, 2020, registered Aug 21, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- W••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Aug 16, 2012, registered Aug 10, 2012 (-6 days) · Other
- C••••• I••••••••• A••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Apr 2, 2008, registered Apr 1, 2008 (-1 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