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.
W•••••• A••••• B•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 26, 2017 · Chesterfield, Mo
- U•• F•••••••• S•••••••• I••• independent RIAAug 8, 2006 to Jun 30, 2017 · St. Louis, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedFeb 23, 2005 to Aug 10, 2006 · St. Louis, Mo
- V••• F•••••••• A•••••••• I••• BD affiliatedMar 4, 1996 to May 20, 2004 · Des Peres, Mo
- U•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 30, 2017, registered Jun 26, 2017 (-4 days) · Other · moved with a team
- F•••• T•••• S••••••••• I••• to U•• F•••••••• S•••••••• I•••left Aug 10, 2006, registered Aug 8, 2006 (-2 days) · Other
- V••• F•••••••• A•••••••• I••• to F•••• T•••• S••••••••• I•••left May 20, 2004, registered Feb 23, 2005 (279 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address