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.
P•••••• R••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince May 2, 2024 · Plymouth, Mn
- T•• R••••••••• G••••• L•• formerJan 2, 2015 to Jun 7, 2024 · San Diego, Ca
- T•• R••••••••• G••••• L•• formerAug 3, 2010 to Dec 31, 2017 · San Diego, Ca
- T•• R••••••••• G•••• unclassifiedOct 17, 2006 to Dec 31, 2008 · St. Louis, Mo
- B••••• A••••••••• F•••••••• P•••••••• I••• unclassifiedNov 20, 2003 to Dec 31, 2005 · St. Louis, Mo
- B••••• A••••••••• F•••••••• P•••••••• I••• unclassifiedNov 20, 2003 to Nov 2, 2006 · St. Louis, Mo
- S••••••• I••••••••• I••• formerAug 27, 2001 to Apr 21, 2003 · Ellisville, Mo
- T•• R••••••••• G••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 7, 2024, registered May 2, 2024 (-36 days) · RIA to RIA
- T•• R••••••••• G•••• to T•• R••••••••• G••••• L••left Dec 31, 2008, registered Aug 3, 2010 (580 days) · Other
- B••••• A••••••••• F•••••••• P•••••••• I••• to T•• R••••••••• G••••left Nov 2, 2006, registered Oct 17, 2006 (-16 days) · Other
- S••••••• I••••••••• I••• to B••••• A••••••••• F•••••••• P•••••••• I•••left Apr 21, 2003, registered Nov 20, 2003 (213 days) · Other
- P•••••• R•• left T•• R••••••••• G••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-05-02)Jun 7, 2024 · 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