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.
Z•••••• A••••
- H••••••••• F•••••••• A••••••• BD affiliated currentsince Aug 11, 2021 · Avon, In
- J••• M••••• S••••••••• L•• wirehouseMay 1, 2019 to Aug 3, 2021 · Mooresville, In
- F•••• T•••• S••••••••• I••• BD affiliatedApr 2, 2018 to Feb 15, 2019 · Indianapolis, In
- J••• M••••• S••••••••• L•• to H••••••••• F•••••••• A•••••••left Aug 3, 2021, registered Aug 11, 2021 (8 days) · Wirehouse to affiliated broker-dealer or bank
- F•••• T•••• S••••••••• I••• to J••• M••••• S••••••••• L••left Feb 15, 2019, registered May 1, 2019 (75 days) · Affiliated broker-dealer or bank to wirehouse
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