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.
J•••• K••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 7, 2022 · Fort Wayne, In
- P•••• S••••••••• L•• no RAUMJan 20, 2021 to Apr 14, 2022 · Fort Wayne, In
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 19, 2018 to Dec 31, 2020 · Ft. Wayne, In
- T• A••••••••• I••• formerMar 19, 2018 to Jan 11, 2021 · Ft. Wayne, In
- H••••• B••••• S••••••••• L•• independent RIAJun 27, 2017 to Jan 31, 2018 · Fort Wayne, In
- S•••••••• A••••••• L•• national BDJun 3, 2013 to Jan 6, 2017 · Millburn, Nj
- P•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Apr 14, 2022, registered Apr 7, 2022 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••• to P•••• S••••••••• L••left Jan 11, 2021, registered Jan 20, 2021 (9 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Mar 19, 2018 (-1018 days) · corporate re-registration, not a move
- H••••• B••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jan 31, 2018, registered Mar 19, 2018 (47 days) · RIA to RIA
- S•••••••• A••••••• L•• to H••••• B••••• S••••••••• L••left Jan 6, 2017, registered Jun 27, 2017 (172 days) · Affiliated broker-dealer or bank to independent RIA
- J•••• K•••••• left P•••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-04-07)Apr 14, 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address