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.
P••••• K••• L•••
- C••• P•••••• W••••• A•••••••• I••• BD affiliated currentsince Oct 29, 2019 · St. Louis, Mo
- L••••••••• G••••• A•••••••• L•• formerJul 5, 2007 to Sep 30, 2019 · St. Louis, Mo
- C••• P•••••• W••••• A•••••••• I••• BD affiliatedDec 22, 2000 to Nov 1, 2006 · New York, Ny
- L••••••••• G••••• A•••••••• L•• to C••• P•••••• W••••• A•••••••• I•••left Sep 30, 2019, registered Oct 29, 2019 (29 days) · RIA to affiliated broker-dealer or bank
- C••• P•••••• W••••• A•••••••• I••• to L••••••••• G••••• A•••••••• L••left Nov 1, 2006, registered Jul 5, 2007 (246 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address