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.
R•••• A•• P•••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · St. Louis, Mo
- S•••••••• F••••••••• I••• formerMay 18, 2023 to Sep 1, 2023 · St Louis, Mo
- L•• F•••••••• L•• BD affiliatedJul 12, 2013 to May 31, 2023 · Saint Louis, Mo
- U•• C•••••• A•••••••• L•• unclassifiedApr 1, 2009 to Jul 15, 2013 · Chicago, Il
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left May 31, 2023, registered May 18, 2023 (-13 days) · Affiliated broker-dealer or bank to another
- U•• C•••••• A•••••••• L•• to L•• F•••••••• L••left Jul 15, 2013, registered Jul 12, 2013 (-3 days) · Other
- R•••• A•• P••••••• left L•• F•••••••• L•• for S•••••••• F••••••••• I••• (registered 2023-05-18)May 31, 2023 · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address