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.
E••• K•• H•••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Aug 3, 2021 · Greentown, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 29, 2019 to Aug 4, 2021 · Indianapolis, In
- W•••• F•••• A••••••• wirehouseMar 27, 2018 to May 1, 2019 · Milwaukee, Wi
- J••• M••••• S••••••••• L•• wirehouseApr 3, 2015 to Mar 28, 2018 · Zionsville, In
- F••••• I••••••••• independent RIAMar 20, 2014 to Jan 6, 2015 · Greentown, In
- L•• F•••••••• L•• BD affiliatedJul 30, 2012 to Mar 21, 2014 · Greentown, In
- P•• W••••• M••••••••• BD affiliatedNov 19, 2010 to Jul 31, 2012 · Kokomo, In
- E••••• J•••• national BDJun 4, 2008 to Nov 8, 2010 · Kokomo, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••••• C•••••• M••••••••• L••left Aug 4, 2021, registered Aug 3, 2021 (-1 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 1, 2019, registered Apr 29, 2019 (-2 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 28, 2018, registered Mar 27, 2018 (-1 days) · Wirehouse to wirehouse
- F••••• I••••••••• to J••• M••••• S••••••••• L••left Jan 6, 2015, registered Apr 3, 2015 (87 days) · Other
- L•• F•••••••• L•• to F••••• I•••••••••left Mar 21, 2014, registered Mar 20, 2014 (-1 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jul 31, 2012, registered Jul 30, 2012 (-1 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Nov 8, 2010, registered Nov 19, 2010 (11 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address