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.
D•••• J••• A•••
- P•• W••••• M••••••••• BD affiliated currentsince Aug 29, 2022 · St Charles, Mo
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 14, 2017 to Aug 18, 2022 · St. Louis, Mo
- S••••• B•••• I••••••••• A•••••••• L•• formerOct 1, 2013 to Sep 16, 2016 · Indianapolis, In
- P•••••••• L•• independent RIAJun 6, 2013 to Oct 2, 2013 · St. Louis, Mo
- B••• O•••• P••••••••• L•• formerOct 24, 2011 to May 7, 2013 · Frontenac, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 19, 2007 to Nov 7, 2011 · St. Louis, Mo
- T• A••••••••• I••• formerDec 19, 2007 to Nov 7, 2011 · St Louis, Mo
- F•••• T•••• S••••••••• I••• BD affiliatedJan 9, 2007 to Dec 13, 2007 · Evansville, In
- A••••••••• F•••••••• S•••••••• L•• national BDMar 9, 2005 to Aug 8, 2006 · Chesterfield, Mo
- V•••• F•••••••• A•••••••• I••• to P•• W••••• M•••••••••left Aug 18, 2022, registered Aug 29, 2022 (11 days) · Affiliated broker-dealer or bank to another
- S••••• B•••• I••••••••• A•••••••• L•• to V•••• F•••••••• A•••••••• I•••left Sep 16, 2016, registered Feb 14, 2017 (151 days) · Other
- P•••••••• L•• to S••••• B•••• I••••••••• A•••••••• L••left Oct 2, 2013, registered Oct 1, 2013 (-1 days) · Other
- B••• O•••• P••••••••• L•• to P•••••••• L••left May 7, 2013, registered Jun 6, 2013 (30 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to B••• O•••• P••••••••• L••left Nov 7, 2011, registered Oct 24, 2011 (-14 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 7, 2011, registered Dec 19, 2007 (-1419 days) · channel change inside one enterprise, not a move
- F•••• T•••• S••••••••• I••• to T• A••••••••• I•••left Dec 13, 2007, registered Dec 19, 2007 (6 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••• T•••• S••••••••• I•••left Aug 8, 2006, registered Jan 9, 2007 (154 days) · Other
- D•••• J••• A••• left V•••• F•••••••• A•••••••• I••• for P•• W••••• M••••••••• (registered 2022-08-29)Aug 18, 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address