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.
O••• M••••••• H•••••• B•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · St. Louis, Mo
- W••••• S••••• S••••••••• I••• formerNov 19, 2007 to Sep 3, 2013 · St. Louis, Mo
- M•• F•••••••• S•••••••• I••• formerNov 29, 2005 to Oct 25, 2007 · St. Louis, Mo
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedApr 17, 2002 to Dec 31, 2005 · Irving, Tx
- W••••• S••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 3, 2013, registered Jun 29, 2023 (3586 days) · Other
- M•• F•••••••• S•••••••• I••• to W••••• S••••• S••••••••• I•••left Oct 25, 2007, registered Nov 19, 2007 (25 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Nov 29, 2005 (-32 days) · corporate re-registration, not a move
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