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.
J••• R•••••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Mar 8, 2018 · Lafayette, In
- N••••••••• M••••• I••••••••• S••••••••• no RAUMAug 2, 2016 to Jan 24, 2018 · Indianapolis, In
- B•• F•••••••• A••••••• BD affiliatedMay 2, 2013 to Jul 6, 2016 · Milwaukee, Wi
- M•••••• F•••••••• I••••••••• M••••••••• I••• mixed wealthAug 23, 2010 to Apr 9, 2013 · Chicago, Il
- N•••••••• B••••• B• L•• no RAUMJun 16, 2008 to Jul 24, 2009 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• to T••••••• I••••••••• M••••••••• I•••left Jan 24, 2018, registered Mar 8, 2018 (43 days) · Other
- B•• F•••••••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 6, 2016, registered Aug 2, 2016 (27 days) · Other
- M•••••• F•••••••• I••••••••• M••••••••• I••• to B•• F•••••••• A•••••••left Apr 9, 2013, registered May 2, 2013 (23 days) · Other
- N•••••••• B••••• B• L•• to M•••••• F•••••••• I••••••••• M••••••••• I•••left Jul 24, 2009, registered Aug 23, 2010 (395 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address