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••••• S•••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 11, 2022 · O'Fallon, Mo
- W•••• F•••• A••••••• wirehouseDec 9, 2014 to May 24, 2022 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseDec 9, 2014 to May 24, 2022 · St. Louis, Mo
- S••••••• C•••••• M••••••••• L•• independent RIAApr 14, 2014 to Nov 28, 2014 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDJul 8, 2009 to Oct 14, 2013 · Chesterfield, Mo
- S•••••••• A••••••• L•• national BDJan 14, 2008 to Feb 19, 2009 · Oakbrook, Il
- B•• H••••• F•••••••• A•••••••• I•• formerDec 8, 2005 to Nov 16, 2007 · Des Plaines, Il
- E•••••• C•••••• M••••••••• L•• formerJul 11, 2005 to Dec 31, 2005 · Roselle, Il
- T• A••••••••• I••• formerApr 18, 2005 to Jun 27, 2005 · Chicago , Il
- C•••••• S••••• • C••• I••• national BDNov 23, 1999 to Nov 29, 2004 · Barrington, Il
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 24, 2022, registered Dec 9, 2014 (-2723 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 24, 2022, registered Dec 9, 2014 (-2723 days) · channel change inside one enterprise, not a move
- S••••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••left Nov 28, 2014, registered Dec 9, 2014 (11 days) · Other
- C•••••• S••••• • C••• I••• to S••••••• C•••••• M••••••••• L••left Oct 14, 2013, registered Apr 14, 2014 (182 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Feb 19, 2009, registered Jul 8, 2009 (139 days) · Affiliated broker-dealer or bank to another
- B•• H••••• F•••••••• A•••••••• I•• to S•••••••• A••••••• L••left Nov 16, 2007, registered Jan 14, 2008 (59 days) · Other
- E•••••• C•••••• M••••••••• L•• to B•• H••••• F•••••••• A•••••••• I••left Dec 31, 2005, registered Dec 8, 2005 (-23 days) · corporate re-registration, not a move
- T• A••••••••• I••• to E•••••• C•••••• M••••••••• L••left Jun 27, 2005, registered Jul 11, 2005 (14 days) · Other
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Nov 29, 2004, registered Apr 18, 2005 (140 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L••••• S••••••••• left W•••• F•••• A••••••• for W•••• F•••• A••••••• (registered 2014-12-09)May 24, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address