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••• J••••• B•••••
- A••••• W••••• S••••••••• state registered currentsince Jan 21, 2020 · Indianapolis, In
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedMar 11, 2017 to Feb 10, 2020 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 9, 2017 · Indianapolis, In
- C•••• I••••••••• S••••••• C•••• formerJul 22, 2010 to Oct 1, 2012 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 27, 2007 to Oct 28, 2009 · Indianapolis, In
- I••••••••• A••••• I••••••••• M••••••••• L•• to A••••• W••••• S•••••••••left Feb 10, 2020, registered Jan 21, 2020 (-20 days) · Affiliated broker-dealer or bank to a state-registered adviser
- J••• M••••• S••••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Mar 9, 2017, registered Mar 11, 2017 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 28, 2009, registered Jul 22, 2010 (267 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
- STATE REGISTEREDderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address