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.
D•••••• M••••••• H•••
- O••••••••• • C•• I••• BD affiliated currentsince Jan 15, 2021 · St. Louis, Mo
- M••••• S•••••• wirehouseSep 13, 2013 to Jan 19, 2021 · Edwardsville, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedApr 8, 2013 to Sep 3, 2013 · Edwardsville, Il
- F•••• B•••••••• A••••••• L••••• unclassifiedAug 6, 2012 to Apr 1, 2013 · Salem, Il
- O••••••••• S••••••••• I••• BD affiliatedOct 10, 2011 to Aug 16, 2012 · Fairview Heights, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 5, 1999 to Apr 18, 2002 · Belleville, Il
- M••••• S•••••• to O••••••••• • C•• I•••left Jan 19, 2021, registered Jan 15, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••left Sep 3, 2013, registered Sep 13, 2013 (10 days) · Other
- F•••• B•••••••• A••••••• L••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 1, 2013, registered Apr 8, 2013 (7 days) · Other
- O••••••••• S••••••••• I••• to F•••• B•••••••• A••••••• L•••••left Aug 16, 2012, registered Aug 6, 2012 (-10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• S••••••••• I•••left Apr 18, 2002, registered Oct 10, 2011 (3462 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