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.
T•••••• J••• K••••
- C••••••• F•••••••• D••••••• I••• BD affiliated currentsince Jan 2, 2020 · Mishawaka, In
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedFeb 9, 2017 to Dec 31, 2019 · Mishawaka, In
- T•••• A•••••••• L•• formerSep 11, 2009 to Jan 20, 2017 · Atlanta, Ga
- G•••••••• F••••••••• I•• unclassifiedMay 11, 2005 to Sep 23, 2009 · Mishawaka, In
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••• F•••••••• D••••••• I•••left Dec 31, 2019, registered Jan 2, 2020 (2 days) · Affiliated broker-dealer or bank to another
- T•••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 20, 2017, registered Feb 9, 2017 (20 days) · Other
- G•••••••• F••••••••• I•• to T•••• A•••••••• L••left Sep 23, 2009, registered Sep 11, 2009 (-12 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