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.
J•••••• J•• S••••••
- S•••••• I••••••••• L•• independent RIA currentsince Aug 20, 2013 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedJul 17, 2013 to Dec 4, 2013 · Creve Coeur, Mo
- W•••• F•••• A••••••• wirehouseAug 29, 2003 to Jul 16, 2013 · Creve Coeur, Mo
- U•• F•••••••• S••••••• I••• wirehouseMay 16, 2001 to Sep 15, 2003 · Chesterfield, Mo
- L•• F•••••••• L•• to S•••••• I••••••••• L••left Dec 4, 2013, registered Aug 20, 2013 (-106 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 16, 2013, registered Jul 17, 2013 (1 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 15, 2003, registered Aug 29, 2003 (-17 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address