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.
T•••••• M•••••• P••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Sep 11, 2018 · Indianapolis, In
- S•••••••• I••••••••• M••••••••• formerJan 31, 2017 to Mar 8, 2018 · Saint Louis, Mo
- B•• H••••• F•••••••• A•••••••• I•• formerOct 3, 2013 to Jul 1, 2016 · Brownsburg, In
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 4, 2010 to Sep 27, 2013 · Indianapolis, In
- T• A••••••••• I••• formerAug 4, 2010 to Sep 27, 2013 · Indianapolis, In
- E••••• J•••• national BDOct 29, 2008 to Jul 9, 2010 · Brownsburg, In
- S•••••••• I••••••••• M••••••••• to O••••••••• S••••••••• I•••left Mar 8, 2018, registered Sep 11, 2018 (187 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to S•••••••• I••••••••• M•••••••••left Jul 1, 2016, registered Jan 31, 2017 (214 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 27, 2013, registered Aug 4, 2010 (-1150 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Sep 27, 2013, registered Oct 3, 2013 (6 days) · Other
- E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 9, 2010, registered Aug 4, 2010 (26 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
- 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