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• O••••
- M••••• S•••••• wirehouse currentsince Jan 1, 2024 · Indianapolis, In
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 18, 2017 to May 18, 2018 · Indianapolis, In
- N••••••••• A•••• M••••••••• L•• independent RIAApr 11, 2016 to Mar 7, 2017 · Stamford, Ct
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left May 18, 2018, registered Jan 1, 2024 (2054 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- N••••••••• A•••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 7, 2017, registered Jul 18, 2017 (133 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address