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.
K•••••• J• H••••••
- V••••• P••••••• W••••• A••••••• independent RIA currentsince May 28, 2019 · Fort Wayne, In
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 14, 2018 to May 22, 2019 · Fort Wayne, In
- P•• W••••• M••••••••• BD affiliatedJan 28, 2013 to Jun 5, 2018 · Huntington, In
- C••••• I••••••••• A••••••• L•• to V••••• P••••••• W••••• A•••••••left May 22, 2019, registered May 28, 2019 (6 days) · Affiliated broker-dealer or bank to independent RIA
- P•• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Jun 5, 2018, registered Jun 14, 2018 (9 days) · Affiliated broker-dealer or bank to another
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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address