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.
- M••••• S•••••• wirehouse currentsince Oct 4, 2022 · Union, Mo
- C•••••• S••••• • C••• I••• national BDApr 27, 2021 to Sep 20, 2022 · St. Louis, Mo
- T• A••••••••• I••• formerJan 6, 2018 to Sep 15, 2022 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 6, 2018 to Sep 15, 2022 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• formerApr 30, 2015 to Apr 7, 2018 · Saint Louis, Mo
- C••••• I••••••••• S••••••• L•• formerFeb 4, 2004 to Aug 24, 2009 · Labadie, Mo
- E••••• J•••• national BDFeb 11, 1999 to Jul 3, 2002 · St Louis, Mo
- C•••••• S••••• • C••• I••• to M••••• S••••••left Sep 20, 2022, registered Oct 4, 2022 (14 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 15, 2022, registered Apr 27, 2021 (-506 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 15, 2022, registered Jan 6, 2018 (-1713 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Apr 7, 2018, registered Jan 6, 2018 (-91 days) · channel change inside one enterprise, not a move
- C••••• I••••••••• S••••••• L•• to S•••••••• I••••••••• M•••••••••left Aug 24, 2009, registered Apr 30, 2015 (2075 days) · Other
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Jul 3, 2002, registered Feb 4, 2004 (581 days) · Other
- A••••• J• W•••••• left C•••••• S••••• • C••• I••• for M••••• S•••••• (registered 2022-10-04)Sep 20, 2022 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address