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••••• A• H••••
- M•••••• BD affiliated currentsince Jun 17, 2022 · St. Louis, Mo
- U••• B•••••• I••••••••• I••• formerJan 15, 2019 to Mar 21, 2022 · Saint Louis, Mo
- C•••••• S••••• • C••• I••• national BDMay 22, 2017 to Dec 26, 2018 · Chesterfield, Mo
- S•••••••• A••••••• L•• national BDOct 10, 2012 to Apr 26, 2017 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 13, 2009 to Mar 9, 2010 · Chesterfield, Mo
- T• A••••••••• I••• formerMay 13, 2009 to Mar 9, 2010 · Chesterfield, Mo
- S•••••••• A••••••• L•• national BDMar 30, 2006 to May 26, 2009 · St. Louis, Mt
- U••• B•••••• I••••••••• I••• to M••••••left Mar 21, 2022, registered Jun 17, 2022 (88 days) · Affiliated broker-dealer or bank to another
- C•••••• S••••• • C••• I••• to U••• B•••••• I••••••••• I•••left Dec 26, 2018, registered Jan 15, 2019 (20 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Apr 26, 2017, registered May 22, 2017 (26 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 9, 2010, registered May 13, 2009 (-300 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to S•••••••• A••••••• L••left Mar 9, 2010, registered Oct 10, 2012 (946 days) · Other
- S•••••••• A••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left May 26, 2009, registered May 13, 2009 (-13 days) · Other
- T••••• A• H•••• left U••• B•••••• I••••••••• I••• for Mariner (registered 2022-06-17)Mar 21, 2022 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address