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•••• J• E•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Sep 24, 2015 · Greenwood, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 24, 2013 to Sep 9, 2015 · Indianapolis, In
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Jan 8, 2013 · Indianapolis, In
- M•• I••••••••• M••••••••• C•••• formerApr 27, 2010 to Apr 18, 2012 · Milwaukee, Wi
- M•• F•••••••• A•••••••• I••• formerNov 19, 2008 to Aug 1, 2012 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• national BDOct 15, 2003 to Jul 8, 2004 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Sep 9, 2015, registered Sep 24, 2015 (15 days) · Wirehouse to affiliated broker-dealer or bank
- B•• H••••• F•••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 8, 2013, registered Jan 24, 2013 (16 days) · Other
- M•• F•••••••• A•••••••• I••• to M•• I••••••••• M••••••••• C••••left Aug 1, 2012, registered Apr 27, 2010 (-827 days) · corporate re-registration, not a move
- M•• I••••••••• M••••••••• C•••• to B•• H••••• F•••••••• A•••••••• I••left Apr 18, 2012, registered Aug 1, 2012 (105 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• A•••••••• I•••left Jul 8, 2004, registered Nov 19, 2008 (1595 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address