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•••••• J•••• A•••••••
- C••• L•• BD affiliated currentsince Jul 30, 2019 · Indianapolis, In
- C•••••• G•••• • C• I•• formerOct 18, 2017 to Jun 14, 2019 · Indianapolis, In
- O••••••••• S••••••••• I••• BD affiliatedFeb 22, 2016 to Sep 20, 2017 · Carmel, In
- P•••• S••••••••• L•• no RAUMJun 10, 2015 to Feb 2, 2016 · Indianapolis, In
- C•••••• G•••• • C• I•• to C••• L••left Jun 14, 2019, registered Jul 30, 2019 (46 days) · Affiliated broker-dealer or bank to another · moved with a team
- O••••••••• S••••••••• I••• to C•••••• G•••• • C• I••left Sep 20, 2017, registered Oct 18, 2017 (28 days) · Other
- P•••• S••••••••• L•• to O••••••••• S••••••••• I•••left Feb 2, 2016, registered Feb 22, 2016 (20 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address