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•••••• M•••• S•••••
- M•• S••••••••• L•• no RAUM currentsince Apr 1, 2019 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedNov 30, 2010 to Apr 23, 2019 · Fort Mill, Sc
- N•• A•••••••• I••• unclassifiedApr 17, 2009 to Nov 30, 2010 · St. Louis, Mo
- O•••• F•• I••• formerJul 17, 2006 to Apr 24, 2009 · Little Rock, Ar
- W••••••• S••••••••• C••••••••• unclassifiedSep 20, 2005 to Jul 25, 2006 · Chesterfield, Mo
- L•• F•••••••• L•• to M•• S••••••••• L••left Apr 23, 2019, registered Apr 1, 2019 (-22 days) · Other
- N•• A•••••••• I••• to L•• F•••••••• L••left Nov 30, 2010, registered Nov 30, 2010 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to N•• A•••••••• I•••left Apr 24, 2009, registered Apr 17, 2009 (-7 days) · Other
- W••••••• S••••••••• C••••••••• to O•••• F•• I•••left Jul 25, 2006, registered Jul 17, 2006 (-8 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
- No RAUM reportedderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address