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•••• M•••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Carmel, In
- W•••••• • R••• formerMar 30, 2020 to Jul 21, 2021 · Carmel, In
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• formerSep 4, 2018 to Apr 8, 2020 · Indianapolis, In
- I••••••••• F•••••••• P••••••• BD affiliatedApr 26, 2016 to Dec 31, 2018 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedNov 19, 2015 to Nov 25, 2015 · Indianapolis, In
- N•••• W••••• A••••••• unclassifiedOct 15, 2014 to Dec 15, 2017 · Indianapolis, In
- W•• A•••••••• L• formerJun 22, 2010 to Oct 6, 2014 · Greenwood, In
- F•• S••••••••• C••••••••• formerSep 24, 2003 to Jun 24, 2010 · Greenwood, In
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 19, 2003 to Sep 29, 2003 · Indianapolis, In
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- S••••••• R••• A•••••••• L••• A• H•• I••••••••• C•••••• to W•••••• • R•••left Apr 8, 2020, registered Mar 30, 2020 (-9 days) · Other
- I••••••••• F•••••••• P••••••• to S••••••• R••• A•••••••• L••• A• H•• I••••••••• C••••••left Dec 31, 2018, registered Sep 4, 2018 (-118 days) · Affiliated broker-dealer or bank to a newly registered adviser
- N•••• W••••• A••••••• to L•• F•••••••• L••left Dec 15, 2017, registered Nov 19, 2015 (-757 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• P•••••••left Nov 25, 2015, registered Apr 26, 2016 (153 days) · Other · moved with a team
- W•• A•••••••• L• to N•••• W••••• A•••••••left Oct 6, 2014, registered Oct 15, 2014 (9 days) · Other
- F•• S••••••••• C••••••••• to W•• A•••••••• L•left Jun 24, 2010, registered Jun 22, 2010 (-2 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to F•• S••••••••• C•••••••••left Sep 29, 2003, registered Sep 24, 2003 (-5 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