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.
A•••• D•••• S••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 1, 2023 · Denver, Co
- W•••• F•••• A••••••• wirehouseJul 29, 2016 to Jun 7, 2023 · Denver, Co
- F•••• T•••• S••••••••• I••• BD affiliatedMar 16, 2016 to Jul 18, 2016 · Avon, In
- H•••••• W••••• P•••••••• I••• state registeredNov 14, 2014 to Mar 16, 2016 · Indianapolis, In
- L•• F•••••••• L•• BD affiliatedFeb 2, 2012 to Mar 11, 2016 · Indianapolis, In
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jun 7, 2023, registered Jun 1, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to W•••• F•••• A•••••••left Jul 18, 2016, registered Jul 29, 2016 (11 days) · Other
- H•••••• W••••• P•••••••• I••• to F•••• T•••• S••••••••• I•••left Mar 16, 2016, registered Mar 16, 2016 (0 days) · Other
- L•• F•••••••• L•• to H•••••• W••••• P•••••••• I•••left Mar 11, 2016, registered Nov 14, 2014 (-483 days) · Other
- A•••• D•••• S•••••••• left W•••• F•••• A••••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-06-01)Jun 7, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address