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.
S•••• W•••••• B•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 27, 2023 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 2, 2023 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 6, 2017 to Jul 13, 2018 · Chesterfield, Mo
- C•••••• S••••• • C••• I••• national BDMay 23, 2013 to Apr 12, 2017 · Chesterfield, Mo
- J••• M••••• S••••••••• L•• wirehouseJul 20, 2010 to May 4, 2012 · Clayton, Mo
- W••••• O••••••••• L•• formerDec 21, 2009 to Dec 31, 2010 · Des Peres, Mo
- O••••••••• unclassifiedOct 22, 2009 to Dec 21, 2009 · Des Peres, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 2, 2023, registered Feb 27, 2023 (-3 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to S•••••••• A••••••• L••left Apr 12, 2017, registered Jun 6, 2017 (55 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to C•••••• S••••• • C••• I•••left May 4, 2012, registered May 23, 2013 (384 days) · Wirehouse to affiliated broker-dealer or bank
- W••••• O••••••••• L•• to J••• M••••• S••••••••• L••left Dec 31, 2010, registered Jul 20, 2010 (-164 days) · Other
- O••••••••• to W••••• O••••••••• L••left Dec 21, 2009, registered Dec 21, 2009 (0 days) · Other
- S•••• W•••••• B••••• left F••••••• P••••••• A•• W•••••••• A••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-02-27)Mar 2, 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address