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.
A•••• A••••••• M•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 5, 2021 · Murfreesboro, Tn
- L•• F•••••••• L•• BD affiliatedFeb 2, 2018 to Oct 19, 2020 · St. Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJun 14, 2012 to Feb 8, 2018 · Kansas City, Mo
- N•• E•••••• S••••••••• C••••••••• formerJan 31, 2012 to Jun 5, 2012 · St. Louis, Mo
- O••••••••• S••••••••• I••• BD affiliatedFeb 10, 2011 to Aug 4, 2011 · Maryland Heights, Mo
- M•• F•••••••• S•••••••• I••• formerMay 15, 1998 to Sep 22, 2010 · St. Louis, Mo
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 19, 2020, registered Mar 5, 2021 (137 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Feb 8, 2018, registered Feb 2, 2018 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- N•• E•••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Jun 5, 2012, registered Jun 14, 2012 (9 days) · Other
- O••••••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Aug 4, 2011, registered Jan 31, 2012 (180 days) · Other
- M•• F•••••••• S•••••••• I••• to O••••••••• S••••••••• I•••left Sep 22, 2010, registered Feb 10, 2011 (141 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address