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•••••• A•••• W••••
- L••••• F••••••••• I••• BD affiliated currentsince Jun 6, 2019 · Washington, Mo
- F•••• S•••• F•••••••• M••••••••• I••• unclassifiedFeb 2, 2011 to Jun 7, 2019 · Washington, Mo
- L•• F•••••••• L•• BD affiliatedJun 30, 2008 to Jan 31, 2011 · St. Louis, Mo
- N•••••• I••••••••• I••• unclassifiedOct 10, 2007 to Jul 1, 2008 · Chesterfield, Mo
- U••• B•••••• I••••••••• I••• formerFeb 23, 2006 to Oct 4, 2007 · St. Louis, Mo
- F•••• S•••• F•••••••• M••••••••• I••• to L••••• F••••••••• I•••left Jun 7, 2019, registered Jun 6, 2019 (-1 days) · Other · moved with a team
- L•• F•••••••• L•• to F•••• S•••• F•••••••• M••••••••• I•••left Jan 31, 2011, registered Feb 2, 2011 (2 days) · Other
- N•••••• I••••••••• I••• to L•• F•••••••• L••left Jul 1, 2008, registered Jun 30, 2008 (-1 days) · Other
- U••• B•••••• I••••••••• I••• to N•••••• I••••••••• I•••left Oct 4, 2007, registered Oct 10, 2007 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address