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.
R•••••• L••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2023 · Solsberry, In
- A••••••••• F•••••••• S•••••••• L•• national BDAug 22, 2022 to Dec 20, 2023 · Lafayette, In
- S••••• A••••••• I••• BD affiliatedJun 30, 2016 to Aug 23, 2022 · Bloomington, In
- S••••• A••• A•••• M••••••••• I••• formerJul 6, 2011 to Jun 30, 2016 · Bloomington, In
- M••••••• I••••••••• N•••••• I••• BD affiliatedSep 21, 2009 to Aug 5, 2011 · Dallas, Tx
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Sep 21, 2009 · Bloomington, In
- A• G• E•••••• • S•••• I••• unclassifiedApr 21, 2003 to Jan 1, 2008 · Bloomington, In
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Dec 20, 2023, registered Dec 5, 2023 (-15 days) · Affiliated broker-dealer or bank to another
- S••••• A••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 23, 2022, registered Aug 22, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
- M••••••• I••••••••• N•••••• I••• to S••••• A••• A•••• M••••••••• I•••left Aug 5, 2011, registered Jul 6, 2011 (-30 days) · Other
- W•••• F•••• A••••••• to M••••••• I••••••••• N•••••• I•••left Sep 21, 2009, registered Sep 21, 2009 (0 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- R•••••• L••• J•••••• left A••••••••• F•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-12-05)Dec 20, 2023 · Advisor changed firm · fact
- R•••••• L••• J•••••• left S••••• A••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-22)Aug 23, 2022 · Advisor changed firm · fact
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