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••• W•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Mar 25, 2019 · Bloomington, In
- O••••••••• S••••••••• I••• BD affiliatedAug 7, 2017 to Mar 13, 2019 · Indianapolis, In
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 13, 2014 to Jun 29, 2017 · Indianapolis, In
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 7, 2013 to Jul 11, 2014 · Indianapolis, In
- O••••••••• S••••••••• I••• to A••••• A•• P••••••• S•••••••left Mar 13, 2019, registered Mar 25, 2019 (12 days) · Affiliated broker-dealer or bank to another
- N••••••••• M••••• I••••••••• S••••••••• to O••••••••• S••••••••• I•••left Jun 29, 2017, registered Aug 7, 2017 (39 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 11, 2014, registered Oct 13, 2014 (94 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address