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••• W••••• independent RIA currentsince Jan 20, 2023 · Indianapolis, In
- J••• M••••• S••••••••• L•• wirehouseSep 17, 2021 to Jan 8, 2023 · Indianapolis, In
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 28, 2020 to Aug 18, 2021 · Indianapolis, In
- J••• M••••• S••••••••• L•• to M••• W•••••left Jan 8, 2023, registered Jan 20, 2023 (12 days) · Wirehouse to independent RIA · moved with a team
- C••••• I••••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Aug 18, 2021, registered Sep 17, 2021 (30 days) · Affiliated broker-dealer or bank to wirehouse
- L••• C• S•••••• left J••• M••••• S••••••••• L•• for M••• W••••• (registered 2023-01-20)Jan 8, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address