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•••• R••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 14, 2021 · Griffith, In
- C••••• A••••••• L•• formerOct 3, 2016 to Jul 15, 2021 · Porter, In
- I•••••••• C•••••• A••••••• formerOct 22, 2013 to Oct 3, 2016 · Highland, In
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 15, 2011 to Oct 23, 2013 · Hobart, In
- F•••• T•••• S••••••••• I••• BD affiliatedDec 6, 2007 to Oct 8, 2010 · Merrillville, In
- F•••• T•••• S••••••••• I••• BD affiliatedAug 9, 2007 to Oct 5, 2007 · Schererville, In
- C••••• A••••••• L•• to L•• F•••••••• L••left Jul 15, 2021, registered Aug 14, 2021 (30 days) · Affiliated broker-dealer or bank to another · moved with a team
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to I•••••••• C•••••• A•••••••left Oct 23, 2013, registered Oct 22, 2013 (-1 days) · Other
- F•••• T•••• S••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 8, 2010, registered Jun 15, 2011 (250 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address