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.
- M•••••• BD affiliated currentsince Feb 26, 2018 · Indianapolis, In
- M•••••• W••••• A••••••• formerAug 28, 2014 to Nov 26, 2018 · Cincinnati, Oh
- W•••••••• W••••• M••••••••• L•• formerMar 5, 2008 to Jul 10, 2014 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDJun 2, 2004 to Jan 30, 2008 · Greenwood, In
- S••••• C•••••• M••••••••• I•• unclassifiedMay 19, 2003 to May 5, 2004 · Indianapolis, In
- M•••••• W••••• A••••••• to M••••••left Nov 26, 2018, registered Feb 26, 2018 (-273 days) · Other · moved with a team
- W•••••••• W••••• M••••••••• L•• to M•••••• W••••• A•••••••left Jul 10, 2014, registered Aug 28, 2014 (49 days) · Other
- R•••••• J•••• • A••••••••• I••• to W•••••••• W••••• M••••••••• L••left Jan 30, 2008, registered Mar 5, 2008 (35 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• C•••••• M••••••••• I•• to R•••••• J•••• • A••••••••• I•••left May 5, 2004, registered Jun 2, 2004 (28 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