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.
C••••• A•• B••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 1, 2022 · New Albany, In
- P•••••••• S••••••••• I••• BD affiliatedApr 8, 2016 to Nov 11, 2022 · Indianapolis, In
- G••••• W••••• M••••••••• I••• BD affiliatedMar 12, 2013 to Dec 10, 2015 · New Albany, In
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 28, 2013 · Louisville, Ky
- C•••• I••••••••• S••••••• C•••• formerJun 21, 2011 to Oct 1, 2012 · Louisville, Ky
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Nov 11, 2022, registered Nov 1, 2022 (-10 days) · Affiliated broker-dealer or bank to independent RIA
- G••••• W••••• M••••••••• I••• to P•••••••• S••••••••• I•••left Dec 10, 2015, registered Apr 8, 2016 (120 days) · Other
- J••• M••••• S••••••••• L•• to G••••• W••••• M••••••••• I•••left Feb 28, 2013, registered Mar 12, 2013 (12 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••••• A•• B•••• left P•••••••• S••••••••• I••• for L•• F•••••••• L•• (registered 2022-11-01)Nov 11, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address