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.
S••••• A• J•••••
- A••••• F•••••••• P•••••••• I••• independent RIA currentsince Sep 30, 2013 · Carmel, In
- S•• A•••••••• I••• formerOct 1, 2012 to Sep 30, 2013 · Carmel, In
- C•••••••• F•••••••• G•••• A••••••• formerNov 10, 2009 to Oct 11, 2012 · Carmel, In
- O•••• W•••••• I••• BD affiliatedNov 1, 2005 to Nov 3, 2009 · Carmel, In
- O•••• F•• I••• formerJun 4, 2002 to May 10, 2005 · Carmel, In
- S•• A•••••••• I••• to A••••• F•••••••• P•••••••• I•••left Sep 30, 2013, registered Sep 30, 2013 (0 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to S•• A•••••••• I•••left Oct 11, 2012, registered Oct 1, 2012 (-10 days) · Other
- O•••• W•••••• I••• to C•••••••• F•••••••• G•••• A•••••••left Nov 3, 2009, registered Nov 10, 2009 (7 days) · Other
- O•••• F•• I••• to O•••• W•••••• I•••left May 10, 2005, registered Nov 1, 2005 (175 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address