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.
I•• G••••• E••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 10, 2018 · Bloomington, In
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Aug 23, 2018 · Bloomington, In
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · Bloomington, In
- I•• P••••••• S••••••••• L•• unclassifiedApr 18, 2012 to Oct 21, 2019 · Bloomington, In
- N•• E•••••• S••••••••• C••••••••• formerJun 16, 2003 to Jan 2, 2015 · Palm Coast, Fl
- I•• P••••••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 21, 2019, registered Jan 2, 2015 (-1753 days) · Other · moved with a team
- M•• I•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Aug 23, 2018, registered Aug 10, 2018 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to I•• P••••••• S••••••••• L••left Jan 2, 2015, registered Apr 18, 2012 (-989 days) · Other · moved with a team
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address