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•••••• M•••••• S•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2021 · Chesterfield, Mo
- O•••• W•••••• I••• BD affiliatedApr 8, 2005 to Dec 2, 2021 · Chesterfield, Mo
- F•••••••• L••••• A••••••••• formerJan 5, 2004 to Dec 6, 2021 · Chesterfield, Mo
- V••••••• I••••••••• A•••••••• I••• unclassifiedSep 23, 1999 to Jan 3, 2003 · St. Louis, Mo
- F•••••••• L••••• A••••••••• to O•••• W•••••• I•••left Dec 6, 2021, registered Apr 8, 2005 (-6086 days) · Other
- O•••• W•••••• I••• to L•• F•••••••• L••left Dec 2, 2021, registered Nov 29, 2021 (-3 days) · Affiliated broker-dealer or bank to another
- V••••••• I••••••••• A•••••••• I••• to F•••••••• L••••• A•••••••••left Jan 3, 2003, registered Jan 5, 2004 (367 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address