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••••• A•••• F•••
- L•• F•••••••• L•• BD affiliated currentsince Oct 28, 2022 · Greenwood, In
- R••••• W• B•••• • C•• I••••••••• mixed wealthOct 18, 2019 to Nov 13, 2022 · Indianapolis, In
- J••••• H•••••••• W••• L••••• L•• formerSep 21, 2018 to Oct 18, 2019 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDSep 22, 2011 to Sep 25, 2018 · Greenwood, In
- C••• S••••••••• C••••••••• formerJan 12, 2006 to Sep 22, 2011 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 6, 2003 to Oct 5, 2005 · Spokane, Wa
- R••••• W• B•••• • C•• I••••••••• to L•• F•••••••• L••left Nov 13, 2022, registered Oct 28, 2022 (-16 days) · RIA to RIA
- J••••• H•••••••• W••• L••••• L•• to R••••• W• B•••• • C•• I•••••••••left Oct 18, 2019, registered Oct 18, 2019 (0 days) · corporate re-registration, not a move
- R•••••• J•••• • A••••••••• I••• to J••••• H•••••••• W••• L••••• L••left Sep 25, 2018, registered Sep 21, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- C••• S••••••••• C••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 22, 2011, registered Sep 22, 2011 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• S••••••••• C•••••••••left Oct 5, 2005, registered Jan 12, 2006 (99 days) · Other
- S••••• A•••• F••• left R••••• W• B•••• • C•• I••••••••• for L•• F•••••••• L•• (registered 2022-10-28)Nov 13, 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