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••••• J• Z••••••••
- C••••• P••••••• L•• independent RIA currentsince Apr 30, 2023 · New York, Ny
- C••••• P••••••• O••• L•• institutionalJun 20, 2022 to Apr 24, 2023 · Indianapolis, In
- E••••• J•••• national BDAug 31, 2020 to Jun 21, 2022 · Logansport, In
- C••••• P••••••• O••• L•• to C••••• P••••••• L••left Apr 24, 2023, registered Apr 30, 2023 (6 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• P••••••• O••• L••left Jun 21, 2022, registered Jun 20, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- A••••• J• Z•••••••• left E••••• J•••• for C••••• P••••••• O••• L•• (registered 2022-06-20)Jun 21, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address