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••••• F••••••• L••••
- O••••••••• S••••••••• I••• BD affiliated currentsince Sep 17, 2019 · Carmel, In
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 28, 2018 to Sep 10, 2019 · Lafayette, In
- E•••••••• A•••••••• L•• national BDSep 9, 2015 to Mar 1, 2018 · Carmel, In
- T••••••• S••••••• F•••••••• formerOct 28, 2014 to Aug 18, 2015 · Indianapolis, In
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Oct 21, 2014 · Carmel, In
- M••••• K••••• • C••••••• L•• formerJan 24, 2013 to Feb 13, 2013 · Indianapolis, In
- A••••••••• F•••••••• S•••••••• L•• to O••••••••• S••••••••• I•••left Sep 10, 2019, registered Sep 17, 2019 (7 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 1, 2018, registered Feb 28, 2018 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- T••••••• S••••••• F•••••••• to E•••••••• A•••••••• L••left Aug 18, 2015, registered Sep 9, 2015 (22 days) · Other
- R•••••• J•••• • A••••••••• I••• to T••••••• S••••••• F••••••••left Oct 21, 2014, registered Oct 28, 2014 (7 days) · Other
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address