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.
T••••• J••••• H•••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 22, 2015 · St. Petersburg, Fl
- W•••• F•••• A••••••• wirehouseMar 17, 2014 to Jun 17, 2015 · Saint Louis, Mo
- S•• A•••••••• I••• formerMar 16, 2009 to Mar 11, 2014 · St Louis, Mo
- H••• I••••••••• I••• unclassifiedJun 6, 1997 to Dec 31, 2009 · Saint Louis, Mo
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 17, 2015, registered Jun 22, 2015 (5 days) · Other
- S•• A•••••••• I••• to W•••• F•••• A•••••••left Mar 11, 2014, registered Mar 17, 2014 (6 days) · Other
- H••• I••••••••• I••• to S•• A•••••••• I•••left Dec 31, 2009, registered Mar 16, 2009 (-290 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address