RIA Intelligence

• I••• W••••• S••••••••• L•• state registered current
  since Jan 24, 2019 · Indianapolis, In
• I••• W••••• S••••••••• L•• state registered
  Apr 29, 2016 to Dec 31, 2018 · Indianapolis, In
• R•••••• J•••• • A••••••••• I••• national BD
  Jan 5, 2015 to Mar 4, 2016 · Greenwood, In
• S••••• W••••• A•••••••• I••• no RAUM
  Jan 3, 2012 to Jan 14, 2015 · Indianapolis, In
• C•••••• S••••• • C••• I••• national BD
  Sep 12, 2011 to Dec 31, 2011 · Fishers (Indianapolis), In

• R•••••• J•••• • A••••••••• I••• to I••• W••••• S••••••••• L••
  left Mar 4, 2016, registered Apr 29, 2016 (56 days) · Affiliated broker-dealer or bank to a state-registered adviser
• S••••• W••••• A•••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Jan 14, 2015, registered Jan 5, 2015 (-9 days) · Other
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Dec 31, 2011, registered Jan 3, 2012 (3 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

STATE REGISTEREDderived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address