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.
J••••• N• M•••••
- T•• A•••••••• I••• BD affiliated currentsince Jul 27, 2022 · Encino, Ca
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 11, 2019 to Jul 6, 2022 · Fort Wayne, In
- L•• F•••••••• L•• BD affiliatedAug 7, 2018 to Jan 23, 2019 · Goshen, In
- F•••• T•••• S••••••••• I••• BD affiliatedJan 28, 2013 to Aug 30, 2018 · Fort Wayne, In
- O•••• F•• I••• formerMar 18, 2011 to Jan 9, 2013 · Fort Wayne, In
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 4, 2010 to Feb 25, 2011 · Fort Wayne, In
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jan 11, 2010 · Fort Wayne, In
- N•••••• I••••••••• I••• unclassifiedOct 28, 2009 to Nov 13, 2009 · Fort Wayne, In
- F•••• T•••• S••••••••• I••• to T•• A•••••••• I•••left Jul 6, 2022, registered Jul 27, 2022 (21 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to F•••• T•••• S••••••••• I•••left Jan 23, 2019, registered Feb 11, 2019 (19 days) · RIA to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Aug 30, 2018, registered Aug 7, 2018 (-23 days) · Affiliated broker-dealer or bank to independent RIA
- O•••• F•• I••• to F•••• T•••• S••••••••• I•••left Jan 9, 2013, registered Jan 28, 2013 (19 days) · Other
- F•••• T•••• S••••••••• I••• to O•••• F•• I•••left Feb 25, 2011, registered Mar 18, 2011 (21 days) · Other
- P•• W••••• M••••••••• to F•••• T•••• S••••••••• I•••left Jan 11, 2010, registered Feb 4, 2010 (24 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- J••••• N• M••••• left F•••• T•••• S••••••••• I••• for T•• A•••••••• I••• (registered 2022-07-27)Jul 6, 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address