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••••• W•••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 2, 2016 · St. Peters, Mo
- U••• B•••••• I••••••••• I••• formerMar 30, 2012 to Sep 7, 2016 · Saint Peters, Mo
- E••••• J•••• national BDFeb 11, 1999 to Apr 2, 2012 · St Peters, Mo
- U••• B•••••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Sep 7, 2016, registered Sep 2, 2016 (-5 days) · Other · moved with a team
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Apr 2, 2012, registered Mar 30, 2012 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address