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••••••••• L•••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Mishawaka, In
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 14, 2023 to Mar 31, 2025 · South Bend, In
- P•• W••••• M••••••••• BD affiliatedOct 21, 2020 to Feb 13, 2023 · Granger, In
- L•• F•••••••• L•• BD affiliatedMay 12, 2017 to Oct 22, 2020 · Mishawaka, In
- P•• W••••• M••••••••• BD affiliatedDec 2, 2010 to May 1, 2017 · Mishawaka, In
- C•••• I••••••••• S••••••• C•••• formerMay 16, 2008 to Oct 18, 2010 · Elkhart, In
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 13, 2023, registered Apr 14, 2023 (60 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Oct 22, 2020, registered Oct 21, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to L•• F•••••••• L••left May 1, 2017, registered May 12, 2017 (11 days) · Other · moved with a team
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Oct 18, 2010, registered Dec 2, 2010 (45 days) · Other
- C••••••••• L••• left P•• W••••• M••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-04-14)Feb 13, 2023 · 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
- 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