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.
T••••• H•••••• T•••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 21, 2020 · Chesterfield, Mo
- L•• F•••••••• L•• BD affiliatedJul 26, 2016 to Apr 13, 2020 · Dubuque, Ia
- B•• H••••• F•••••••• A•••••••• I•• formerAug 1, 2012 to Jun 7, 2016 · Kansas City, Mo
- M•• F•••••••• A•••••••• I••• formerApr 19, 2012 to Aug 1, 2012 · Clayton, Mo
- M•• I••••••••• M••••••••• C•••• formerJul 13, 2010 to Apr 18, 2012 · Milwaukee, Wi
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jun 28, 2010 · Collinsville, Il
- N•••••• I••••••••• I••• unclassifiedJul 14, 2006 to Nov 13, 2009 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedMay 10, 2005 to Jul 17, 2006 · Brentwood, Mo
- B•• H••••• F•••••••• A•••••••• I•• to L•• F•••••••• L••left Jun 7, 2016, registered Jul 26, 2016 (49 days) · Other
- M•• F•••••••• A•••••••• I••• to B•• H••••• F•••••••• A•••••••• I••left Aug 1, 2012, registered Aug 1, 2012 (0 days) · channel change inside one enterprise, not a move
- M•• I••••••••• M••••••••• C•••• to M•• F•••••••• A•••••••• I•••left Apr 18, 2012, registered Apr 19, 2012 (1 days) · channel change inside one enterprise, not a move
- P•• W••••• M••••••••• to M•• I••••••••• M••••••••• C••••left Jun 28, 2010, registered Jul 13, 2010 (15 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to N•••••• I••••••••• I•••left Jul 17, 2006, registered Jul 14, 2006 (-3 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
- 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