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.
K•••• A• S••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 10, 2018 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 22, 2014 to Nov 17, 2017 · St. Louis, Mo
- F•••• A••••• A••••••• S•••••••• I••• formerJan 1, 2007 to Jul 24, 2014 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedMar 14, 2006 to Jan 1, 2007 · Chesterfield, Mo
- M•• F•••••••• S•••••••• I••• formerDec 6, 2005 to Mar 13, 2006 · Springfield, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedJun 17, 2005 to Dec 31, 2005 · Milwaukee, Wi
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 17, 2017, registered Apr 10, 2018 (144 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• A••••• A••••••• S•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 24, 2014, registered Jul 22, 2014 (-2 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 1, 2007, registered Jan 1, 2007 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to F•• A••••••• S••••••• I••left Mar 13, 2006, registered Mar 14, 2006 (1 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 6, 2005 (-25 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address