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.
T••••• V••••••• S•••••••
- E••••• J•••• national BD currentsince Dec 6, 2021 · St. Louis, Mo
- U••• I••••••••• S••••••• C•••••• no RAUMJan 8, 2018 to Jul 30, 2020 · St Louis, Mo
- U••• F•••••••• P••••••• S••••••• formerMay 20, 2010 to Jan 8, 2018 · Tampa, Fl
- A••••• A•• P••••••• S••••••• BD affiliatedMar 30, 2005 to Oct 23, 2008 · Boston, Ma
- T•••••••• T•••• C••••••• F•• unclassifiedNov 12, 1998 to Mar 30, 2005 · St. Louis, Mo
- U••• I••••••••• S••••••• C•••••• to E••••• J••••left Jul 30, 2020, registered Dec 6, 2021 (494 days) · Other
- U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
- A••••• A•• P••••••• S••••••• to U••• F•••••••• P••••••• S•••••••left Oct 23, 2008, registered May 20, 2010 (574 days) · Other
- T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 30, 2005, registered Mar 30, 2005 (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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address