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• I••••••••• L•• independent RIA currentsince Mar 29, 2018 · Auburn, In
- P••••••• W••••• P••••••• L•• formerJun 30, 2022 to Oct 25, 2022 · Auburn, In
- H•••• W••••• P••••••• formerFeb 1, 2013 to Aug 15, 2018 · Auburn, In
- E••••• J•••• national BDSep 25, 2007 to Feb 5, 2013 · Auburn, In
- P••••••• W••••• P••••••• L•• to no registered destinationleft Oct 25, 2022 · Departure, no registered destination
- H•••• W••••• P••••••• to C• I••••••••• L••left Aug 15, 2018, registered Mar 29, 2018 (-139 days) · RIA to RIA · moved with a team
- E••••• J•••• to H•••• W••••• P•••••••left Feb 5, 2013, registered Feb 1, 2013 (-4 days) · Other
- B•••• D•••• N••• no longer registered at P••••••• W••••• P••••••• L••; no later IA registration on IAPDOct 25, 2022 · Advisor departure · 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address