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.
A••••• O••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Saint Louis, Mo, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2021 to Mar 31, 2025 · Covington, Ky
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 7, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDMar 17, 2017 to Jul 13, 2018 · Chesterfield, Mo
- E••••• J•••• national BDOct 8, 2015 to Feb 21, 2017 · St. Louis, Mo
- L•••••• I••••••••• A•••••••• L•• no RAUMMar 27, 2015 to Sep 23, 2015 · St Louis, Mo
- E••••• J•••• national BDJul 31, 2014 to Mar 18, 2015 · St. Louis, Mo
- S••••••• I••••••••• A•••••••• I••• otherJul 2, 2013 to Mar 31, 2014 · St. Louis, Mo
- P•••••••• L•• independent RIAOct 24, 2012 to May 28, 2013 · Saint Louis, Mo
- S••••••• I••••••••• A•••••••• I••• otherOct 6, 2011 to Sep 18, 2012 · Portland, Or
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• A••••••• L••left Feb 21, 2017, registered Mar 17, 2017 (24 days) · Affiliated broker-dealer or bank to another
- L•••••• I••••••••• A•••••••• L•• to E••••• J••••left Sep 23, 2015, registered Oct 8, 2015 (15 days) · Other
- E••••• J•••• to L•••••• I••••••••• A•••••••• L••left Mar 18, 2015, registered Mar 27, 2015 (9 days) · Other
- S••••••• I••••••••• A•••••••• I••• to E••••• J••••left Mar 31, 2014, registered Jul 31, 2014 (122 days) · Other
- P•••••••• L•• to S••••••• I••••••••• A•••••••• I•••left May 28, 2013, registered Jul 2, 2013 (35 days) · Other
- S••••••• I••••••••• A•••••••• I••• to P•••••••• L••left Sep 18, 2012, registered Oct 24, 2012 (36 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address