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.
L•••• C••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 28, 2024 · Southfield, Mi
- S••••• W••••• A•••••••• I••• no RAUMJan 9, 2017 to Jul 3, 2023 · Indianapolis, In
- C•••••• S••••• • C••• I••• national BDJun 29, 2016 to Jan 9, 2017 · Indianapolis, In
- S••••• W••••• A•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 3, 2023, registered Mar 28, 2024 (269 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Jan 9, 2017, registered Jan 9, 2017 (0 days) · channel change inside one enterprise, not a move · moved with a team
- L•••• C•••• left S••••• W••••• A•••••••• I••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2024-03-28)Jul 3, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address