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•••••• M•• O•••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jun 3, 2021 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseNov 21, 2018 to Feb 19, 2021 · Indianapolis, In
- S•••••••• A•••••••• L•• BD affiliatedAug 17, 2017 to Nov 26, 2018 · Indianapolis, In
- 1•• G••••• A••••••• I•• formerApr 1, 2014 to Nov 30, 2016 · Indianapolis, In
- J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left Feb 19, 2021, registered Jun 3, 2021 (104 days) · Other
- S•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Nov 26, 2018, registered Nov 21, 2018 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- 1•• G••••• A••••••• I•• to S•••••••• A•••••••• L••left Nov 30, 2016, registered Aug 17, 2017 (260 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
- No RAUM reportedderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address