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.
D•••• C•••••• K•••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Apr 3, 2017 · Macomb, Il
- S••••• O•• S••••••••• I••• BD affiliatedFeb 3, 2017 to Mar 21, 2017 · Yorkville, Il
- S•••••• I••••••••• L•• independent RIASep 16, 2014 to Sep 27, 2016 · St. Louis, Mo
- C••••••••• A••••••• formerJul 11, 2013 to Dec 31, 2014 · Eureka, Mo
- L•• F•••••••• L•• BD affiliatedApr 20, 1999 to Feb 10, 2010 · Belleville, Il
- S••••• O•• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left Mar 21, 2017, registered Apr 3, 2017 (13 days) · Other
- S•••••• I••••••••• L•• to S••••• O•• S••••••••• I•••left Sep 27, 2016, registered Feb 3, 2017 (129 days) · Other
- C••••••••• A••••••• to S•••••• I••••••••• L••left Dec 31, 2014, registered Sep 16, 2014 (-106 days) · Other
- L•• F•••••••• L•• to C••••••••• A•••••••left Feb 10, 2010, registered Jul 11, 2013 (1247 days) · Other
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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address