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.
W••••• D••••••• P•••••
- T•••••••• T•• • F•••••••• independent RIA currentsince Jan 16, 2025 · Fort Wayne, In
- S••••• A•••• M••••••••• L••••• independent RIAMay 31, 2022 to Jan 24, 2025 · Troy, Mi
- P•••• S••••••••• L•• no RAUMMar 27, 2017 to Nov 21, 2019 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 12, 2016 to Jan 13, 2017 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDApr 1, 2015 to Jun 14, 2016 · Indianapolis, In
- S••••• A•••• M••••••••• L••••• to T•••••••• T•• • F••••••••left Jan 24, 2025, registered Jan 16, 2025 (-8 days) · RIA to a newly registered adviser
- P•••• S••••••••• L•• to S••••• A•••• M••••••••• L•••••left Nov 21, 2019, registered May 31, 2022 (922 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jan 13, 2017, registered Mar 27, 2017 (73 days) · Other
- C•••••• S••••• • C••• I••• to M•• I•••••••• S•••••••• L••left Jun 14, 2016, registered Aug 12, 2016 (59 days) · Other
- Wesley Douglass Phelps left Secure Asset Management, L.L.C. for Tradewell Tax & Financial (registered 2025-01-16)Jan 24, 2025 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address