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.
L••• F•••• B•••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Mar 24, 2020 · New Albany, Oh
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 20, 2018 to Apr 4, 2019 · Eau Claire, Wi
- T• A••••••••• I••• formerAug 20, 2018 to Apr 4, 2019 · Eau Claire, Wi
- L•• F•••••••• L•• BD affiliatedJan 8, 2018 to Mar 12, 2018 · Indiapolis, In
- O••••••••• S••••••••• I••• BD affiliatedNov 14, 2017 to Jan 9, 2018 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseOct 31, 2013 to Nov 18, 2015 · Indianapolis, In
- A••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 13, 2013 to Nov 6, 2013 · Franklin, In
- M•• F•••••••• A•••••••• I••• formerApr 18, 2012 to Jul 18, 2012 · Indianapolis, In
- M•• I••••••••• M••••••••• C•••• formerJul 14, 2010 to Apr 18, 2012 · Milwaukee, Wi
- E••••• J•••• national BDMar 5, 2007 to Jun 21, 2010 · Indianapolis, In
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 4, 2019, registered Aug 20, 2018 (-227 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 4, 2019, registered Aug 20, 2018 (-227 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Mar 12, 2018, registered Aug 20, 2018 (161 days) · RIA to RIA
- O••••••••• S••••••••• I••• to L•• F•••••••• L••left Jan 9, 2018, registered Jan 8, 2018 (-1 days) · Other
- J••• M••••• S••••••••• L•• to O••••••••• S••••••••• I•••left Nov 18, 2015, registered Nov 14, 2017 (727 days) · Other
- A••••••• F•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Nov 6, 2013, registered Oct 31, 2013 (-6 days) · Other
- M•• F•••••••• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jul 18, 2012, registered Feb 13, 2013 (210 days) · Other
- M•• I••••••••• M••••••••• C•••• to M•• F•••••••• A•••••••• I•••left Apr 18, 2012, registered Apr 18, 2012 (0 days) · channel change inside one enterprise, not a move
- E••••• J•••• to M•• I••••••••• M••••••••• C••••left Jun 21, 2010, registered Jul 14, 2010 (23 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