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.
T•••• L••••• B•••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 6, 2025 · St. Louis, Mo
- S••••• I••••••••• A•••••••• L•• BD affiliatedAug 20, 2025 to Aug 24, 2026 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJun 3, 2015 to Jan 6, 2025 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 8, 2015 to May 28, 2015 · St. Louis, Mo
- S••••• I••••••••• A•••••••• L•• to no registered destinationleft Aug 24, 2026 · Departure, no registered destination
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 6, 2025, registered Aug 6, 2025 (212 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left May 28, 2015, registered Jun 3, 2015 (6 days) · Affiliated broker-dealer or bank to wirehouse
- T•••• L••••• B••••••••• no longer registered at S••••• I••••••••• A•••••••• L••; no later IA registration on IAPDAug 24, 2026 · Advisor departure · fact
- T•••• L••••• B••••••••• left W•••• F•••• A••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2025-08-06)Jan 6, 2025 · 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address