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.
P•••••• W•••••• H••••••
- S••••• O•• S••••••••• I••• BD affiliated currentsince Nov 15, 2021 · Hampstead, Nc
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2020 to Dec 10, 2021 · Fort Wayne, In
- S•• A•••••••• I••• formerNov 8, 2017 to Sep 18, 2020 · Fort Wayne, In
- S•• I••••••••• I••• formerFeb 25, 2015 to Nov 7, 2017 · Fort Wayne, In
- S••••••••• A•••••• A•••••••• I••• to S••••• O•• S••••••••• I•••left Dec 10, 2021, registered Nov 15, 2021 (-25 days) · Affiliated broker-dealer or bank to another
- S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
- S•• I••••••••• I••• to S•• A•••••••• I•••left Nov 7, 2017, registered Nov 8, 2017 (1 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address