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.
R••• J••• D••••
- D•••••• F••••••••• L•• independent RIA currentsince Nov 18, 2016 · Noblesville, In
- R•••••• W••••• M••••••••• L•• unclassifiedAug 22, 2019 to Nov 19, 2020 · Carmel, In
- E•••• S••••••••• L•• BD affiliatedApr 1, 2014 to Nov 7, 2016 · Mccordsville, In
- E•••• S••••••••• L•• BD affiliatedAug 1, 2012 to Mar 31, 2014 · Mccordsville, In
- R•••••• W••••• M••••••••• L•• to no registered destinationleft Nov 19, 2020 · Departure, no registered destination
- E•••• S••••••••• L•• to D•••••• F••••••••• L••left Nov 7, 2016, registered Nov 18, 2016 (11 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address