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.
S•••• M••••• T••••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 14, 2019 · Elkhart, In
- C••• B•••••••• S•••••••• I••• formerJun 4, 2015 to Sep 13, 2019 · Elkhart, In
- P•••••• A•••••• G••••• L•• BD affiliatedFeb 23, 2015 to Jun 1, 2015 · Elkhart, In
- U••• F•••••••• A••••••• formerNov 18, 2014 to Feb 21, 2015 · Wilmington, De
- C••••• A•••••• N••••••• L•• formerAug 30, 2011 to Nov 18, 2014 · Mishawaka, In
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 13, 2019, registered Oct 14, 2019 (31 days) · Affiliated broker-dealer or bank to another
- P•••••• A•••••• G••••• L•• to C••• B•••••••• S•••••••• I•••left Jun 1, 2015, registered Jun 4, 2015 (3 days) · Other
- U••• F•••••••• A••••••• to P•••••• A•••••• G••••• L••left Feb 21, 2015, registered Feb 23, 2015 (2 days) · Other
- C••••• A•••••• N••••••• L•• to U••• F•••••••• A•••••••left Nov 18, 2014, registered Nov 18, 2014 (0 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