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••••• R•••• L••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Oct 17, 2018 · Hermann, Mo
- F•••••••• E••••• S•••••••• I••• formerJun 29, 2012 to Oct 17, 2018 · Herman, Mo
- I••••••••• F•••••••• A••••••• independent RIAMay 11, 2011 to May 2, 2012 · Hermann, Mo
- C•••••••• F••••••••• I••• BD affiliatedOct 26, 2009 to Dec 31, 2010 · Hermann, Mo
- Q•• F•••••••• L•• unclassifiedFeb 27, 2007 to Sep 15, 2009 · Hermann, Mo
- T•••• S••••• S••••••••• I••• formerJul 18, 2005 to May 23, 2006 · Hermann, Mo
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Oct 17, 2018, registered Oct 17, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
- I••••••••• F•••••••• A••••••• to F•••••••• E••••• S•••••••• I•••left May 2, 2012, registered Jun 29, 2012 (58 days) · Other
- C•••••••• F••••••••• I••• to I••••••••• F•••••••• A•••••••left Dec 31, 2010, registered May 11, 2011 (131 days) · Other
- Q•• F•••••••• L•• to C•••••••• F••••••••• I•••left Sep 15, 2009, registered Oct 26, 2009 (41 days) · Other
- T•••• S••••• S••••••••• I••• to Q•• F•••••••• L••left May 23, 2006, registered Feb 27, 2007 (280 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