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.
M•••••• R• B••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 28, 2018 · Jasper, In
- F•••• T•••• S••••••••• I••• BD affiliatedApr 4, 2017 to Feb 23, 2018 · Evansville, In
- C••• B•••••••• S•••••••• I••• formerApr 28, 2015 to Jan 19, 2017 · Newburgh, In
- F•••• T•••• S••••••••• I••• to L•• F•••••••• L••left Feb 23, 2018, registered Feb 28, 2018 (5 days) · Affiliated broker-dealer or bank to independent RIA
- C••• B•••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Jan 19, 2017, registered Apr 4, 2017 (75 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