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••••• D•••• S••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 18, 2020 · St Louis, Mo
- C••• B•••••••• S•••••••• I••• formerMar 18, 2014 to Sep 21, 2020 · Waverly, Ia
- F•••• B•••••••• A••••••• L••••• unclassifiedSep 2, 2011 to Mar 17, 2014 · Granite City, Il
- N•••••• I••••••••• I••• unclassifiedJan 3, 2008 to May 7, 2008 · St. Louis, Mo
- U•• F•••••••• S•••••••• I••• independent RIAMar 30, 2006 to Oct 27, 2006 · Kirkwood, Mo
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 21, 2020, registered Sep 18, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- F•••• B•••••••• A••••••• L••••• to C••• B•••••••• S•••••••• I•••left Mar 17, 2014, registered Mar 18, 2014 (1 days) · Other
- N•••••• I••••••••• I••• to F•••• B•••••••• A••••••• L•••••left May 7, 2008, registered Sep 2, 2011 (1213 days) · Other
- U•• F•••••••• S•••••••• I••• to N•••••• I••••••••• I•••left Oct 27, 2006, registered Jan 3, 2008 (433 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address