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.
C••••••••• M•••••• B•••••
- E•••••••• A•••••••• L•• national BD currentsince Dec 15, 2020 · Carmel, In
- S••••• W••••• A•••••••• I••• no RAUMJun 28, 2016 to Oct 28, 2020 · Indianapolis, In
- A••••• A•• P••••••• S••••••• BD affiliatedSep 24, 2014 to Jun 6, 2016 · Bloomington, In
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 19, 2014 to Sep 8, 2014 · Greenwood, In
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 25, 2010 to Feb 13, 2014 · Carmel, In
- T••••••• I••••••••• M••••••••• I••• BD affiliatedJan 3, 2005 to Jan 22, 2010 · Columbus, In
- S••••• W••••• A•••••••• I••• to E•••••••• A•••••••• L••left Oct 28, 2020, registered Dec 15, 2020 (48 days) · Other
- A••••• A•• P••••••• S••••••• to S••••• W••••• A•••••••• I•••left Jun 6, 2016, registered Jun 28, 2016 (22 days) · Other
- F•••• T•••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Sep 8, 2014, registered Sep 24, 2014 (16 days) · Other
- V•••• F•••••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••left Feb 13, 2014, registered Feb 19, 2014 (6 days) · Other
- T••••••• I••••••••• M••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jan 22, 2010, registered Jan 25, 2010 (3 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address