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.
- L••• I••• independent RIA currentsince Sep 29, 2022 · Wildwood, Mo
- S•••••••• F••••••••• I••• formerNov 15, 2011 to Sep 30, 2022 · Chesterfield, Mo
- N••• F•••••••• G••••• I••• formerApr 18, 2007 to Nov 18, 2011 · Chesterfield, Mo
- E••••• J•••• national BDFeb 11, 1999 to Mar 5, 2007 · Chesterfield, Mo
- S•••••••• F••••••••• I••• to L••• I•••left Sep 30, 2022, registered Sep 29, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left Nov 18, 2011, registered Nov 15, 2011 (-3 days) · Other
- E••••• J•••• to N••• F•••••••• G••••• I•••left Mar 5, 2007, registered Apr 18, 2007 (44 days) · Other
- J••••• P••• B••••••• left S•••••••• F••••••••• I••• for L••• I••• (registered 2022-09-29)Sep 30, 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address