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••••• L•• P•••••••••
- M•••••• BD affiliated currentsince Oct 21, 2016 · Overland Park, Ks
- A••••• I••••••••• P•••••••• L•• formerFeb 3, 2010 to Oct 11, 2018 · Overland Park, Ks
- W•••• F•••• A••••••• wirehouseNov 2, 2009 to Jan 8, 2010 · St. Louis, Mo
- G••••••• A•••• M••••••••• I••• unclassifiedSep 26, 2006 to Mar 25, 2009 · St. Louis, Mo
- A••••• I••••••••• P•••••••• L•• to M••••••left Oct 11, 2018, registered Oct 21, 2016 (-720 days) · Other
- W•••• F•••• A••••••• to A••••• I••••••••• P•••••••• L••left Jan 8, 2010, registered Feb 3, 2010 (26 days) · Other
- G••••••• A•••• M••••••••• I••• to W•••• F•••• A•••••••left Mar 25, 2009, registered Nov 2, 2009 (222 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