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.
S••• A••• S•••••••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Jun 15, 2021 · Saint Charles, Mo
- P•••••••• S••••••••• I••• BD affiliatedOct 16, 2019 to May 25, 2021 · Chesterfield, Mo
- P••••••••• C•••••• A••••••• independent RIAApr 15, 2019 to Sep 23, 2019 · St. Louis, Mo
- A••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 7, 2018 to Apr 9, 2019 · Cottleville, Mo
- E•••••• F•••••••• S•••••••• L•• formerNov 12, 2015 to Dec 22, 2017 · Fairfax, Va
- A••••• A•• P••••••• S••••••• BD affiliatedOct 22, 2012 to Oct 1, 2013 · Chicago, Il
- L•••••• F•••••••• D••••••••• I••• unclassifiedFeb 4, 2008 to Feb 25, 2011 · Princetown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 13, 2007 to Jan 7, 2008 · Clayton, Mo
- P•••••••• S••••••••• I••• to A••••••• F•••••••• A•••••••• L••left May 25, 2021, registered Jun 15, 2021 (21 days) · Affiliated broker-dealer or bank to another
- P••••••••• C•••••• A••••••• to P•••••••• S••••••••• I•••left Sep 23, 2019, registered Oct 16, 2019 (23 days) · RIA to affiliated broker-dealer or bank
- A••••••• F•••••••• A•••••••• L•• to P••••••••• C•••••• A•••••••left Apr 9, 2019, registered Apr 15, 2019 (6 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• F•••••••• S•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Dec 22, 2017, registered Feb 7, 2018 (47 days) · Other
- A••••• A•• P••••••• S••••••• to E•••••• F•••••••• S•••••••• L••left Oct 1, 2013, registered Nov 12, 2015 (772 days) · Other
- L•••••• F•••••••• D••••••••• I••• to A••••• A•• P••••••• S•••••••left Feb 25, 2011, registered Oct 22, 2012 (605 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••••• F•••••••• D••••••••• I•••left Jan 7, 2008, registered Feb 4, 2008 (28 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address