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.
- E••••• J•••• national BD currentsince May 24, 2022 · Newburgh, In
- F•••• T•••• S••••••••• I••• BD affiliatedNov 13, 2020 to May 25, 2022 · Evansville, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2019 to Nov 10, 2020 · Evansville, In
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 27, 2018 to Mar 7, 2019 · Evansville, In
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 5, 2017 to Jan 30, 2018 · Evansville, In
- F•••• T•••• S••••••••• I••• to E••••• J••••left May 25, 2022, registered May 24, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Nov 10, 2020, registered Nov 13, 2020 (3 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 7, 2019, registered Aug 30, 2019 (176 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to M•• I•••••••• S•••••••• L••left Jan 30, 2018, registered Mar 27, 2018 (56 days) · Other
- L••••••• W• T••••• left F•••• T•••• S••••••••• I••• for E••••• J•••• (registered 2022-05-24)May 25, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address