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.
S••• M•••••• W••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Nov 27, 2020 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseApr 17, 2020 to Oct 29, 2020 · Indianapolis, In
- S••••• W••••• A•••••••• I••• no RAUMMay 3, 2017 to Apr 6, 2020 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDSep 14, 2015 to May 4, 2017 · Indianapolis, In
- J••• M••••• S••••••••• L•• to S••••• W••••• A•••••••• I•••left Oct 29, 2020, registered Nov 27, 2020 (29 days) · Other
- S••••• W••••• A•••••••• I••• to J••• M••••• S••••••••• L••left Apr 6, 2020, registered Apr 17, 2020 (11 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left May 4, 2017, registered May 3, 2017 (-1 days) · channel change inside one enterprise, not a move
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
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address