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.
C•••• H•••••
- C••••••• P••••••• independent RIA currentsince Jul 20, 2023 · Overland Park, Ks
- F••• Q••••••• W••••• A•••••••• I••• independent RIAJun 21, 2022 to Sep 11, 2023 · Carmel, In
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 16, 2014 to Jun 8, 2022 · Indianapolis, In
- F••• Q••••••• W••••• A•••••••• I••• to C••••••• P•••••••left Sep 11, 2023, registered Jul 20, 2023 (-53 days) · RIA to RIA
- M•• I•••••••• S•••••••• L•• to F••• Q••••••• W••••• A•••••••• I•••left Jun 8, 2022, registered Jun 21, 2022 (13 days) · Affiliated broker-dealer or bank to independent RIA
- C•••• H••••• left F••• Q••••••• W••••• A•••••••• I••• for C••••••• P••••••• (registered 2023-07-20)Sep 11, 2023 · Advisor changed firm · fact
- C•••• H••••• left M•• I•••••••• S•••••••• L•• for F••• Q••••••• W••••• A•••••••• I••• (registered 2022-06-21)Jun 8, 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address