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.
S•••••• C• D••••
- M••••• G•••• I••••••••• A•••••••• L•• independent RIA currentsince Feb 7, 2020 · St. Louis, Mo
- M•••••• BD affiliatedNov 5, 2015 to Dec 19, 2019 · St. Louis, Mo
- M•••••• W••••• A••••••• formerNov 5, 2015 to Jul 3, 2018 · St. Louis, Mo
- P•• W••••• M••••••••• BD affiliatedJun 23, 2015 to Jul 16, 2015 · St. Louis, Mo
- E••••• J•••• national BDAug 9, 2010 to Jan 28, 2015 · Kirkwood, Mo
- M•••••• to M••••• G•••• I••••••••• A•••••••• L••left Dec 19, 2019, registered Feb 7, 2020 (50 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• W••••• A••••••• to M••••••left Jul 3, 2018, registered Nov 5, 2015 (-971 days) · Other · moved with a team
- P•• W••••• M••••••••• to M•••••• W••••• A•••••••left Jul 16, 2015, registered Nov 5, 2015 (112 days) · Other
- E••••• J•••• to P•• W••••• M•••••••••left Jan 28, 2015, registered Jun 23, 2015 (146 days) · Other · moved with a team
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address