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.
A•••••• J• Z•••
- P•• W••••• M••••••••• BD affiliated currentsince Apr 18, 2022 · North Vernon, In
- P•••• S••••••••• L•• no RAUMMay 24, 2021 to Apr 11, 2022 · Columbus, Oh
- C••• B•••••••• S•••••••• I••• formerMay 2, 2019 to May 6, 2021 · Columbus, In
- H••••• M••• I••••••••• I••• no RAUMSep 20, 2018 to Apr 30, 2019 · North Vernon, In
- J• W• C••• A•••••••• I••• BD affiliatedMar 12, 2018 to Apr 6, 2018 · Indianapolis, In
- E••••• J•••• national BDNov 24, 2017 to Dec 12, 2017 · North Vernon, In
- L•• F•••••••• L•• BD affiliatedDec 19, 2016 to Dec 1, 2017 · Seymour, In
- P•••• S••••••••• L•• to P•• W••••• M•••••••••left Apr 11, 2022, registered Apr 18, 2022 (7 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to P•••• S••••••••• L••left May 6, 2021, registered May 24, 2021 (18 days) · Affiliated broker-dealer or bank to another
- H••••• M••• I••••••••• I••• to C••• B•••••••• S•••••••• I•••left Apr 30, 2019, registered May 2, 2019 (2 days) · Other
- J• W• C••• A•••••••• I••• to H••••• M••• I••••••••• I•••left Apr 6, 2018, registered Sep 20, 2018 (167 days) · Other
- E••••• J•••• to J• W• C••• A•••••••• I•••left Dec 12, 2017, registered Mar 12, 2018 (90 days) · Other
- L•• F•••••••• L•• to E••••• J••••left Dec 1, 2017, registered Nov 24, 2017 (-7 days) · RIA to affiliated broker-dealer or bank
- A•••••• J• Z••• left P•••• S••••••••• L•• for P•• W••••• M••••••••• (registered 2022-04-18)Apr 11, 2022 · Advisor changed firm · fact
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