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.
S•••• M•••••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 1, 2023 · Elkhart, In
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 18, 2015 to Jun 2, 2023 · Elkhart, In
- C••••• I••••••••• S••••••• L•• formerJun 22, 2010 to Jun 8, 2011 · Elhart, In
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jun 2, 2023, registered Jun 1, 2023 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 8, 2011, registered Feb 18, 2015 (1351 days) · Other
- S•••• M•••••• H•••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2023-06-01)Jun 2, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address