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.
G•••••• O••• F••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 4, 2024 · Bethalto, Il
- G•••• P•••• A•••••••• L•• formerAug 1, 2022 to Jan 8, 2024 · Bethalto, Il
- W••••••• F•••••••• S•••••••• I••• formerJan 17, 2018 to Aug 9, 2022 · Bethalto, Il
- L•• F•••••••• L•• BD affiliatedNov 30, 2009 to Jan 24, 2018 · Fort Mill, Sc
- I••••• F•••••••• C••••••••• formerFeb 10, 2004 to Dec 2, 2009 · Edwardsville, Il
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 26, 2001 to Feb 4, 2004 · Bethalto, Il
- G•••• P•••• A•••••••• L•• to L•• F•••••••• L••left Jan 8, 2024, registered Jan 4, 2024 (-4 days) · Affiliated broker-dealer or bank to another
- W••••••• F•••••••• S•••••••• I••• to G•••• P•••• A•••••••• L••left Aug 9, 2022, registered Aug 1, 2022 (-8 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Jan 24, 2018, registered Jan 17, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Dec 2, 2009, registered Nov 30, 2009 (-2 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 4, 2004, registered Feb 10, 2004 (6 days) · Other
- G•••••• O••• F•••••• left G•••• P•••• A•••••••• L•• for L•• F•••••••• L•• (registered 2024-01-04)Jan 8, 2024 · Advisor changed firm · fact
- G•••••• O••• F•••••• left W••••••• F•••••••• S•••••••• I••• for G•••• P•••• A•••••••• L•• (registered 2022-08-01)Aug 9, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address