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•••• L••• S•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 13, 2013 · Carmel, In
- M••••• K••••• • C••••••• L•• formerSep 13, 2010 to Feb 13, 2013 · Indianapolis, In
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 1, 2006 to Aug 25, 2010 · Indianapolis, In
- D•••• A• N•••• • C•••••• formerAug 23, 2005 to Aug 17, 2006 · Indianapolis, In
- M••••• S•••••• D• I••• unclassifiedMay 8, 2003 to Aug 29, 2005 · Indianapolis, In
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to M••••• K••••• • C••••••• L••left Aug 25, 2010, registered Sep 13, 2010 (19 days) · Other
- D•••• A• N•••• • C•••••• to T••••••••• F•••••••• A•••••••• L••left Aug 17, 2006, registered Sep 1, 2006 (15 days) · Other
- M••••• S•••••• D• I••• to D•••• A• N•••• • C••••••left Aug 29, 2005, registered Aug 23, 2005 (-6 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
- 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