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•••••• J• H•••
- O••••••••• • C•• I••• BD affiliated currentsince Jan 20, 2021 · St. Louis, Mo
- M••••• S•••••• wirehouseAug 30, 2013 to Jan 19, 2021 · Edwardsville, Il
- L•• F•••••••• L•• BD affiliatedSep 23, 1998 to Sep 25, 2013 · Alton, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 1998 to Apr 18, 2002 · St Louis, Mo
- M••••• S•••••• to O••••••••• • C•• I•••left Jan 19, 2021, registered Jan 20, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to M••••• S••••••left Sep 25, 2013, registered Aug 30, 2013 (-26 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Apr 18, 2002, registered Sep 23, 1998 (-1303 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address