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••• A• D•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 14, 2021 · Ann Arbor, Mi
- O•••• W•••••• I••• BD affiliatedMar 12, 2019 to Oct 1, 2021 · Carmel, In
- O••••••••• S••••••••• I••• BD affiliatedDec 11, 2017 to Mar 13, 2019 · Indianapolis, In
- E••••• J•••• national BDApr 22, 2016 to Dec 4, 2017 · Greenfield, In
- M•• F•••••••• S•••••••• I••• formerJun 10, 2014 to Apr 25, 2016 · Indianapolis, In
- P•• W••••• M••••••••• BD affiliatedNov 4, 2013 to Jan 27, 2014 · Indianapolis, In
- W•••••• • R••• formerOct 8, 2012 to Oct 9, 2013 · Charleroi, Pa
- E••••• J•••• national BDJun 12, 2008 to Nov 1, 2011 · St Louis, Mo
- O•••• W•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 1, 2021, registered Oct 14, 2021 (13 days) · Affiliated broker-dealer or bank to wirehouse
- O••••••••• S••••••••• I••• to O•••• W•••••• I•••left Mar 13, 2019, registered Mar 12, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to O••••••••• S••••••••• I•••left Dec 4, 2017, registered Dec 11, 2017 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to E••••• J••••left Apr 25, 2016, registered Apr 22, 2016 (-3 days) · Other
- P•• W••••• M••••••••• to M•• F•••••••• S•••••••• I•••left Jan 27, 2014, registered Jun 10, 2014 (134 days) · Other
- W•••••• • R••• to P•• W••••• M•••••••••left Oct 9, 2013, registered Nov 4, 2013 (26 days) · Other
- E••••• J•••• to W•••••• • R•••left Nov 1, 2011, registered Oct 8, 2012 (342 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address