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.
B•••• A••• P•••••
- A••••••• A••••••• independent RIA currentsince Apr 9, 2019 · St. Louis, Mo
- O•••• W•••••• I••• BD affiliatedMar 10, 2009 to Mar 15, 2019 · St. Louis, Mo
- P•••••• F•••••••• P•••••••• L•• unclassifiedOct 7, 2004 to Mar 15, 2019 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedJun 8, 2004 to Sep 9, 2005 · St. Louis, Mo
- P•••••• F•••••••• P•••••••• L•• to O•••• W•••••• I•••left Mar 15, 2019, registered Mar 10, 2009 (-3657 days) · Other
- O•••• W•••••• I••• to A••••••• A•••••••left Mar 15, 2019, registered Apr 9, 2019 (25 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to P•••••• F•••••••• P•••••••• L••left Sep 9, 2005, registered Oct 7, 2004 (-337 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address