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••••• M••••••
- A•••• W••••• A••••••• independent RIA currentsince Sep 19, 2023 · Chicago, Il
- S•• W••••• M••••••••• formerDec 9, 2019 to Aug 31, 2023 · Indianapolis, In
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2016 to Dec 10, 2019 · Indianapolis, In
- M••••• S•••••• wirehouseSep 27, 2013 to Nov 24, 2015 · Chicago, Il
- S•• W••••• M••••••••• to A•••• W••••• A•••••••left Aug 31, 2023, registered Sep 19, 2023 (19 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to S•• W••••• M•••••••••left Dec 10, 2019, registered Dec 9, 2019 (-1 days) · Wirehouse to independent RIA
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 24, 2015, registered Nov 4, 2016 (346 days) · Wirehouse to wirehouse · moved with a team
- M•••••• R••••• M•••••• left S•• W••••• M••••••••• for A•••• W••••• A••••••• (registered 2023-09-19)Aug 31, 2023 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address