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.
A•••••• A• L••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 4, 2021 to Mar 31, 2025 · South Bend, In
- P•• W••••• M••••••••• BD affiliatedAug 13, 2021 to Oct 29, 2021 · Schererville, In
- E••••• J•••• national BDMay 13, 2020 to Jul 1, 2020 · Peoria, Il
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 9, 2017 to Jan 6, 2020 · Clayton, Mo
- A••••• W••••• M••••••••• independent RIANov 14, 2016 to Jul 18, 2017 · Lowell, Ar
- U••• B•••••• I••••••••• I••• formerSep 12, 2013 to Oct 25, 2016 · Crestwood, Mo
- P•• W••••• M••••••••• BD affiliatedSep 8, 2011 to Sep 12, 2013 · Creve Coeur, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 1998 to Oct 8, 2002 · M••••••Ville, In
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 29, 2021, registered Nov 4, 2021 (6 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left Jul 1, 2020, registered Aug 13, 2021 (408 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to E••••• J••••left Jan 6, 2020, registered May 13, 2020 (128 days) · Affiliated broker-dealer or bank to another
- A••••• W••••• M••••••••• to C••••• I••••••••• A••••••• L••left Jul 18, 2017, registered Aug 9, 2017 (22 days) · Other
- U••• B•••••• I••••••••• I••• to A••••• W••••• M•••••••••left Oct 25, 2016, registered Nov 14, 2016 (20 days) · Other
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Sep 12, 2013, registered Sep 12, 2013 (0 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• W••••• M•••••••••left Oct 8, 2002, registered Sep 8, 2011 (3257 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