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•••• R•••
- M•••••• BD affiliated currentsince Feb 26, 2018 · Indianapolis, In
- M•••••• W••••• A••••••• formerMay 5, 2016 to Nov 26, 2018 · Indianapolis, In
- B••••••••• S•••••••• W•••••• L•• formerNov 5, 2014 to May 2, 2016 · Indianapolis, In
- H•••••• A•••••••• L•• formerOct 8, 2013 to Nov 19, 2014 · Indianapolis, In
- A••••• A•• P••••••• S••••••• BD affiliatedAug 21, 2012 to Apr 12, 2013 · Carmel, In
- P••• W••••• M••••••••• independent RIANov 26, 2009 to Jul 18, 2012 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDDec 17, 2007 to Apr 9, 2008 · Fishers (Indianapolis), In
- O••••••••• S••••••••• I••• BD affiliatedJul 23, 2007 to Dec 7, 2007 · Indianapolis, In
- M•••••• W••••• A••••••• to M••••••left Nov 26, 2018, registered Feb 26, 2018 (-273 days) · Other · moved with a team
- B••••••••• S•••••••• W•••••• L•• to M•••••• W••••• A•••••••left May 2, 2016, registered May 5, 2016 (3 days) · Other
- H•••••• A•••••••• L•• to B••••••••• S•••••••• W•••••• L••left Nov 19, 2014, registered Nov 5, 2014 (-14 days) · channel change inside one enterprise, not a move
- A••••• A•• P••••••• S••••••• to H•••••• A•••••••• L••left Apr 12, 2013, registered Oct 8, 2013 (179 days) · Other
- P••• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Jul 18, 2012, registered Aug 21, 2012 (34 days) · Other
- C•••••• S••••• • C••• I••• to P••• W••••• M•••••••••left Apr 9, 2008, registered Nov 26, 2009 (596 days) · Other
- O••••••••• S••••••••• I••• to C•••••• S••••• • C••• I•••left Dec 7, 2007, registered Dec 17, 2007 (10 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address