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•••••• T•••••••••
- K•••••••• W••••• A•••••••• L•• BD affiliated currentsince Sep 27, 2022 · San Diego, Ca
- S••••• A••••••• I••• BD affiliatedDec 6, 2019 to Sep 27, 2022 · Birmingham, Al
- Q•••• C•••••• S••••••••• I••• formerMar 20, 2018 to Dec 6, 2019 · St Louis, Mo
- P•••••• L•••• M•••• M••••••••• I••• unclassifiedSep 27, 2013 to Oct 30, 2013 · St. Louis, Mo
- A•••••• A••••••• S••••••• formerJan 25, 2010 to Sep 13, 2013 · Saint Louis, Mo
- C••••• • C••••••• I••• formerJun 5, 2007 to Dec 31, 2009 · St. Louis, Mo
- S••••• A••••••• I••• to K•••••••• W••••• A•••••••• L••left Sep 27, 2022, registered Sep 27, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- Q•••• C•••••• S••••••••• I••• to S••••• A••••••• I•••left Dec 6, 2019, registered Dec 6, 2019 (0 days) · corporate re-registration, not a move
- P•••••• L•••• M•••• M••••••••• I••• to Q•••• C•••••• S••••••••• I•••left Oct 30, 2013, registered Mar 20, 2018 (1602 days) · Other
- A•••••• A••••••• S••••••• to P•••••• L•••• M•••• M••••••••• I•••left Sep 13, 2013, registered Sep 27, 2013 (14 days) · Other
- C••••• • C••••••• I••• to A•••••• A••••••• S•••••••left Dec 31, 2009, registered Jan 25, 2010 (25 days) · Other
- M•••••• T••••••••• left S••••• A••••••• I••• for K•••••••• W••••• A•••••••• L•• (registered 2022-09-27)Sep 27, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address