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•••••• T• W•••
- C•••••• S••••• • C••• I••• national BD currentsince Jul 10, 2024 · Indianapolis, In
- S••••• W••••• A•••••••• I••• no RAUMJan 27, 2022 to Jul 10, 2024 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDMar 22, 2019 to Nov 26, 2019 · Indianapolis, In
- S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••left Jul 10, 2024, registered Jul 10, 2024 (0 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Nov 26, 2019, registered Jan 27, 2022 (793 days) · channel change inside one enterprise, not a move · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address