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.
M•••••• J•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince May 29, 2020 · Kewanna, In
- A•••••• A••••••• S••••••• formerJul 8, 2010 to Jun 1, 2020 · Kewanna, In
- S•••••••• F•••••••• G••••• L•• formerSep 28, 2007 to May 3, 2010 · Lafayette, In
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAOct 28, 2005 to Oct 12, 2007 · Lafayette, In
- A•••••• A••••••• S••••••• to L•• F•••••••• L••left Jun 1, 2020, registered May 29, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• F•••••••• G••••• L•• to A•••••• A••••••• S•••••••left May 3, 2010, registered Jul 8, 2010 (66 days) · Other
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to S•••••••• F•••••••• G••••• L••left Oct 12, 2007, registered Sep 28, 2007 (-14 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address