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.
D•••••• J• R•••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jan 11, 2018 · Wheaton, Il
- N•• A•••••••• A• D••••••• O• N•• F•••••••• C••••••••• formerDec 28, 2015 to Jan 15, 2018 · Fort Wayne, In
- D•••••• C•••••• M••••••••• I•• unclassifiedJun 24, 2013 to Dec 17, 2015 · Fort Wayne, In
- R•••••• W••••• A•••••••• I••• independent RIAMar 14, 2013 to Nov 7, 2013 · Uniondale, In
- N•• A•••••••• A• D••••••• O• N•• F•••••••• C••••••••• to B••••••••• C•••••• M••••••••• L••left Jan 15, 2018, registered Jan 11, 2018 (-4 days) · Other · moved with a team
- D•••••• C•••••• M••••••••• I•• to N•• A•••••••• A• D••••••• O• N•• F•••••••• C•••••••••left Dec 17, 2015, registered Dec 28, 2015 (11 days) · Other · moved with a team
- R•••••• W••••• A•••••••• I••• to D•••••• C•••••• M••••••••• I••left Nov 7, 2013, registered Jun 24, 2013 (-136 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address