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.
- E••••• J•••• national BD currentsince Apr 6, 2023 · St. Louis, Mo
- S•••• W••••• M••••••••• L•• BD affiliatedFeb 11, 2021 to Mar 29, 2023 · Reston, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 17, 2019 to Dec 31, 2020 · Annapolis, Md
- T• A••••••••• I••• formerDec 17, 2019 to Jan 11, 2021 · Annapolis, Md
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 13, 2018 to Oct 23, 2018 · Columbia, Md
- T• A••••••••• I••• formerMar 13, 2018 to Oct 23, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 7, 2017 to Mar 13, 2018 · Saint Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJan 5, 2005 to Aug 31, 2005 · Chesterfield, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedOct 22, 2003 to Aug 6, 2004 · Altadena, Ca
- S•••• W••••• M••••••••• L•• to E••••• J••••left Mar 29, 2023, registered Apr 6, 2023 (8 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to S•••• W••••• M••••••••• L••left Jan 11, 2021, registered Feb 11, 2021 (31 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Dec 17, 2019 (-380 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 23, 2018, registered Dec 17, 2019 (420 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 13, 2018, registered Mar 13, 2018 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• I••••••••• M•••••••••left Aug 31, 2005, registered Jun 7, 2017 (4298 days) · Other
- M•••• C••••••• A••••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 6, 2004, registered Jan 5, 2005 (152 days) · Other
- S•••• L•••• L•••• left S•••• W••••• M••••••••• L•• for E••••• J•••• (registered 2023-04-06)Mar 29, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address