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••••• W•••• K••••••
- G•••••••• F•••••••• N••••••• L•• independent RIA currentsince May 1, 2020 · Springfield, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 16, 2020 to Apr 28, 2020 · Springfield, Mo
- T• A••••••••• I••• formerJan 16, 2020 to Apr 28, 2020 · Springfield, Mo
- G•••••••• F•••••••• N••••••• L•• independent RIAMay 31, 2018 to Jan 14, 2020 · Springfield, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 21, 2017 to Jun 1, 2018 · Springfield, Mo
- G•••••••• F•••••••• N••••••• L•• independent RIAJun 28, 2017 to Aug 7, 2017 · Springfield, Mo
- W•••••• • R••• formerFeb 26, 2015 to Jun 21, 2017 · Columbia, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedJan 23, 2015 to Mar 2, 2015 · Palm Beach Gardens, Fl
- T• A••••••••• I••••••••• M••••••••• L•• to G•••••••• F•••••••• N••••••• L••left Apr 28, 2020, registered May 1, 2020 (3 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 28, 2020, registered Jan 16, 2020 (-103 days) · Other
- G•••••••• F•••••••• N••••••• L•• to T• A••••••••• I•••left Jan 14, 2020, registered Jan 16, 2020 (2 days) · Other
- M•• I•••••••• S•••••••• L•• to G•••••••• F•••••••• N••••••• L••left Jun 1, 2018, registered May 31, 2018 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- G•••••••• F•••••••• N••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 7, 2017, registered Sep 21, 2017 (45 days) · Other
- W•••••• • R••• to G•••••••• F•••••••• N••••••• L••left Jun 21, 2017, registered Jun 28, 2017 (7 days) · Other
- M•••• C••••••• A••••••• S•••••• to W•••••• • R•••left Mar 2, 2015, registered Feb 26, 2015 (-4 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address