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.
G•••••• S•••• P•••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 12, 2024 · Springfield, Il
- B•• A•••• M••••••••• L•• mixed wealthJun 8, 2022 to Jan 8, 2024 · Springfield, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 6, 2018 to Jan 7, 2022 · Chesterfield, Mo
- P•••• S••••••••• L•• no RAUMMay 15, 2013 to May 15, 2018 · Oakbrook Terrace, Il
- W••••••• F•••••••• S•••••••• I••• formerMar 3, 2011 to Oct 16, 2012 · Springfield, Il
- T••••••• I••••••••• M••••••••• I••• BD affiliatedAug 26, 2002 to Oct 29, 2007 · St Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJan 7, 2002 to Jun 20, 2002 · Evansville, In
- B•• A•••• M••••••••• L•• to L•• F•••••••• L••left Jan 8, 2024, registered Jan 12, 2024 (4 days) · RIA to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to B•• A•••• M••••••••• L••left Jan 7, 2022, registered Jun 8, 2022 (152 days) · Affiliated broker-dealer or bank to independent RIA
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left May 15, 2018, registered Aug 6, 2018 (83 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Oct 16, 2012, registered May 15, 2013 (211 days) · Other
- T••••••• I••••••••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Oct 29, 2007, registered Mar 3, 2011 (1221 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jun 20, 2002, registered Aug 26, 2002 (67 days) · Other
- G•••••• S•••• P••••• left B•• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-01-12)Jan 8, 2024 · Advisor changed firm · fact
- G•••••• S•••• P••••• left M•• I•••••••• S•••••••• L•• for B•• A•••• M••••••••• L•• (registered 2022-06-08)Jan 7, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address