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.
A•••••• A• A•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Miami, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 23, 2021 to Mar 31, 2025 · Covington, Ky
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 8, 2021 to Feb 17, 2021 · Oak Brook, Il
- T• A••••••••• I••• formerFeb 8, 2021 to Feb 17, 2021 · Oak Brook, Il
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 17, 2018 to Dec 31, 2020 · Merrillville, In
- T• A••••••••• I••• formerApr 17, 2018 to Jan 11, 2021 · Merrillville, In
- C•••••• S••••• • C••• I••• national BDJan 12, 2016 to Nov 14, 2017 · Indianapolis, In
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 17, 2021, registered Jul 23, 2021 (156 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 17, 2021, registered Feb 8, 2021 (-9 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Apr 17, 2018 (-989 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 14, 2017, registered Apr 17, 2018 (154 days) · Affiliated broker-dealer or bank to independent RIA
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address