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••••• L••• B•••••
- V•••••••• W••••• A•••••••• L•• independent RIA currentsince Aug 26, 2014 · Edwardsville, Il
- C••••••••• W••••• M••••••••• L••• independent RIAAug 2, 2011 to Mar 27, 2015 · Glen Carbon, Il
- L•• F•••••••• L•• BD affiliatedMay 27, 2010 to Oct 27, 2011 · Glen Carbon, Il
- N•• A•••••• S•••••••• L•• formerJan 20, 2005 to May 27, 2010 · St. Louis, Mo
- C••••••••• W••••• M••••••••• L••• to V•••••••• W••••• A•••••••• L••left Mar 27, 2015, registered Aug 26, 2014 (-213 days) · Other · moved with a team
- L•• F•••••••• L•• to C••••••••• W••••• M••••••••• L•••left Oct 27, 2011, registered Aug 2, 2011 (-86 days) · Other
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left May 27, 2010, registered May 27, 2010 (0 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address