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.
F•••••••• A•••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · St Louis, Mo
- P•• W••••• M••••••••• BD affiliatedApr 12, 2019 to Jul 23, 2021 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 17, 2017 to Apr 4, 2019 · Chesterfield, Mo
- O•••• I••••••••• I••• BD affiliatedJan 18, 2017 to May 17, 2017 · Creve Coer, Mo
- F•••• B•••••••• A••••••• L••••• unclassifiedAug 22, 2012 to Jan 25, 2017 · Clayton, Mo
- W••••••• F•••••••• S•••••••• I••• formerNov 16, 2010 to Aug 28, 2012 · Chesterfield, Mo
- U••• B•••••• I••••••••• I••• formerMay 28, 2002 to Nov 19, 2010 · Creve Coeur, Mo
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jul 23, 2021, registered Jul 21, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to P•• W••••• M•••••••••left Apr 4, 2019, registered Apr 12, 2019 (8 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to W•••• F•••• A•••••••left May 17, 2017, registered May 17, 2017 (0 days) · Other
- F•••• B•••••••• A••••••• L••••• to O•••• I••••••••• I•••left Jan 25, 2017, registered Jan 18, 2017 (-7 days) · Other · moved with a team
- W••••••• F•••••••• S•••••••• I••• to F•••• B•••••••• A••••••• L•••••left Aug 28, 2012, registered Aug 22, 2012 (-6 days) · Other
- U••• B•••••• I••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Nov 19, 2010, registered Nov 16, 2010 (-3 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address