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.
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- F•••••••• E••••••••• G•••• independent RIA currentsince Sep 29, 2023 · Anderson, In
- F••• Q••••••• W••••• A•••••••• I••• independent RIAJun 24, 2022 to Sep 15, 2023 · Carmel, In
- E•••••••• A•••••••• L•• national BDFeb 1, 2019 to Jun 16, 2022 · Carmel, In
- F••• Q••••••• W••••• A•••••••• I••• to F•••••••• E••••••••• G••••left Sep 15, 2023, registered Sep 29, 2023 (14 days) · RIA to RIA
- E•••••••• A•••••••• L•• to F••• Q••••••• W••••• A•••••••• I•••left Jun 16, 2022, registered Jun 24, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• N••• left F••• Q••••••• W••••• A•••••••• I••• for F•••••••• E••••••••• G•••• (registered 2023-09-29)Sep 15, 2023 · Advisor changed firm · fact
- S••••• N••• left E•••••••• A•••••••• L•• for F••• Q••••••• W••••• A•••••••• I••• (registered 2022-06-24)Jun 16, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address