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.
T••••• D• F••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Aug 28, 2017 · Carmel, In
- S••••• B•••• I••••••••• A•••••••• L•• formerNov 18, 2013 to Apr 22, 2016 · Indianapolis, In
- P•••••• A••••••• S•••••••• L•• formerSep 7, 2012 to Nov 15, 2013 · Tacoma, Wa
- C••••• C••••••• L•• formerJan 24, 2007 to Jul 17, 2012 · Denver, Co
- W•••••• • R••• formerMay 13, 2004 to May 5, 2005 · Atlanta, Ga
- S••••• B•••• I••••••••• A•••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 22, 2016, registered Aug 28, 2017 (493 days) · Other
- P•••••• A••••••• S•••••••• L•• to S••••• B•••• I••••••••• A•••••••• L••left Nov 15, 2013, registered Nov 18, 2013 (3 days) · Other
- C••••• C••••••• L•• to P•••••• A••••••• S•••••••• L••left Jul 17, 2012, registered Sep 7, 2012 (52 days) · Other
- W•••••• • R••• to C••••• C••••••• L••left May 5, 2005, registered Jan 24, 2007 (629 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address