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•••••• D•••••• H••••••
- H•••••• W••••• • T•• S•••••••• independent RIA currentsince Aug 25, 2020 · Mishawaka, In
- O•••• I••••••••• I••• BD affiliatedNov 1, 2019 to May 12, 2020 · La Porte, In
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 28, 2018 to Nov 5, 2019 · Cassopolis, Mi
- O•••• I••••••••• I••• to H•••••• W••••• • T•• S••••••••left May 12, 2020, registered Aug 25, 2020 (105 days) · Affiliated broker-dealer or bank to independent RIA
- M•• I•••••••• S•••••••• L•• to O•••• I••••••••• I•••left Nov 5, 2019, registered Nov 1, 2019 (-4 days) · Affiliated broker-dealer or bank to another
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