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.
E•••• K••• R••••••••
- F•••• P••••••• W•••••• L•• independent RIA currentsince Oct 4, 2024 · St. Louis, Mo
- F•••• A•••••• S••••••••• L•• independent RIA currentsince Jan 8, 2019 · St. Louis, Mo
- T•• W••••• M••••••••• A••••••• L•• formerJan 7, 2014 to Jan 8, 2019 · San Jose, Ca
- L•• F•••••••• I••• formerDec 8, 2009 to Jan 8, 2019 · San Jose, Ca
- R•• A••••••• S•••••••• I••• formerMar 19, 2008 to Apr 22, 2013 · Morgan Hill, Ca
- R•• A••••••• S•••••••• I••• formerSep 3, 2004 to Dec 31, 2005 · San Jose, Ca
- L•• F•••••••• I••• to T•• W••••• M••••••••• A••••••• L••left Jan 8, 2019, registered Jan 7, 2014 (-1827 days) · channel change inside one enterprise, not a move · moved with a team
- T•• W••••• M••••••••• A••••••• L•• to F•••• A•••••• S••••••••• L••left Jan 8, 2019, registered Jan 8, 2019 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- R•• A••••••• S•••••••• I••• to L•• F•••••••• I•••left Apr 22, 2013, registered Dec 8, 2009 (-1231 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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address