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.
M••••• R••••• C•••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Indianapolis, In
- S•••••••• F••••••••• I••• formerJul 3, 2018 to Sep 1, 2023 · Indianapolis, In
- O••••••••• S••••••••• I••• BD affiliatedJul 6, 2016 to Aug 14, 2017 · Carmel, In
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 12, 2012 to Aug 4, 2014 · Ndianapolis, In
- T• A••••••••• I••• formerDec 12, 2012 to Aug 4, 2014 · Indianapolis, In
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Aug 14, 2017, registered Jul 3, 2018 (323 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to O••••••••• S••••••••• I•••left Aug 4, 2014, registered Jul 6, 2016 (702 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 4, 2014, registered Dec 12, 2012 (-600 days) · channel change inside one enterprise, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address