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.
H••••• J••• C•••
- C••••• C•••••••• W••••• M••••••••• L•• independent RIA currentsince Jan 1, 2026 · New York, Ny
- O••••• F•••••••• G••••• L•• independent RIAJan 19, 2021 to Mar 17, 2025 · Carmel, In
- C•••••• S••••• • C••• I••• national BDOct 21, 2019 to Nov 26, 2020 · St. Petersburg, Fl
- F••••• M••••• W••••• A•••••••• L•• independent RIAApr 23, 2019 to Oct 16, 2019 · Springfield, Mo
- C•••••• S••••• • C••• I••• national BDApr 24, 2018 to Apr 3, 2019 · Indianapolis, In
- L••••••• F•••••••• P•••••••• L•• formerAug 29, 2017 to Mar 12, 2018 · Tampa, Fl
- D••••• W••••• M••••••••• A•••••••• L•• unclassifiedJun 13, 2016 to Jul 24, 2017 · Indianapolis, In
- O••••• F•••••••• G••••• L•• to C••••• C•••••••• W••••• M••••••••• L••left Mar 17, 2025, registered Jan 1, 2026 (290 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to O••••• F•••••••• G••••• L••left Nov 26, 2020, registered Jan 19, 2021 (54 days) · Affiliated broker-dealer or bank to independent RIA
- F••••• M••••• W••••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Oct 16, 2019, registered Oct 21, 2019 (5 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to F••••• M••••• W••••• A•••••••• L••left Apr 3, 2019, registered Apr 23, 2019 (20 days) · Affiliated broker-dealer or bank to independent RIA
- L••••••• F•••••••• P•••••••• L•• to C•••••• S••••• • C••• I•••left Mar 12, 2018, registered Apr 24, 2018 (43 days) · RIA to affiliated broker-dealer or bank
- D••••• W••••• M••••••••• A•••••••• L•• to L••••••• F•••••••• P•••••••• L••left Jul 24, 2017, registered Aug 29, 2017 (36 days) · Other
- H••••• J••• C••• left O••••• F•••••••• G••••• L•• for C••••• C•••••••• W••••• M••••••••• L•• (registered 2026-01-01)Mar 17, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address