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.
F••• A•• K••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 21, 2013 · Elkhart, In
- K•••• W••••• M••••••••• L•• unclassifiedAug 14, 2012 to Jul 2, 2013 · Elkhart, In
- F•••• H•••••••• C••••••••• I••• BD affiliatedFeb 7, 2012 to Jul 23, 2012 · Elkhart, In
- A••••••••• F•••••••• S•••••••• L•• national BDAug 2, 2006 to Jul 6, 2011 · Mishawaka, In
- K•••• W••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 2, 2013, registered Jun 21, 2013 (-11 days) · Other
- F•••• H•••••••• C••••••••• I••• to K•••• W••••• M••••••••• L••left Jul 23, 2012, registered Aug 14, 2012 (22 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••• H•••••••• C••••••••• I•••left Jul 6, 2011, registered Feb 7, 2012 (216 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address