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.
B•••••• V••••• H••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 12, 2016 · Indianapolis, In
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to May 19, 2016 · Indianapolis, In
- N•• E•••••• S••••••••• C••••••••• formerJun 5, 2012 to Jan 2, 2015 · Indianapolis, In
- V•••• F•••••••• A•••••••• L•• independent RIADec 7, 2009 to Apr 9, 2012 · Carmel, In
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2005 to Oct 6, 2009 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedJan 16, 2004 to Aug 5, 2005 · Indianapolis, In
- M•• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left May 19, 2016, registered May 12, 2016 (-7 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• L•• to N•• E•••••• S••••••••• C•••••••••left Apr 9, 2012, registered Jun 5, 2012 (57 days) · Other
- U•• F•••••••• S••••••• I••• to V•••• F•••••••• A•••••••• L••left Oct 6, 2009, registered Dec 7, 2009 (62 days) · Other
- L•• F•••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 5, 2005, registered Jul 25, 2005 (-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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address