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.
P••• G•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · South Bend, In
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 27, 2021 to Mar 31, 2025 · South Bend, In
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Granger, In
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 24, 2017 to Feb 26, 2018 · Saint Louis, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedMar 13, 2014 to Aug 24, 2015 · Mishawaka, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 3, 2014 · Elkhart, In
- C•••• I••••••••• S••••••• C•••• formerMay 23, 2012 to Oct 1, 2012 · Elkhart, In
- L•• F•••••••• L•• BD affiliatedJul 5, 2011 to Feb 22, 2012 · Goshen, In
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedMar 31, 2009 to Jul 5, 2011 · Elkhart, In
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 11, 2021, registered Mar 27, 2021 (75 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to S•••••••• I••••••••• M•••••••••left Aug 24, 2015, registered Jan 24, 2017 (519 days) · Other
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Mar 3, 2014, registered Mar 13, 2014 (10 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C•••• I••••••••• S••••••• C••••left Feb 22, 2012, registered May 23, 2012 (91 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jul 5, 2011, registered Jul 5, 2011 (0 days) · corporate re-registration, not a move
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address