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.
- W•••• F•••• A••••••• wirehouse currentsince Jan 18, 2023 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouse currentsince Apr 4, 2016 · St. Louis, Mo
- N•• A•••••• S•••••••• L•• formerFeb 28, 2005 to Feb 22, 2016 · Highland, Il
- S••••••• F•••••••• I•• otherFeb 1, 2002 to Dec 31, 2005 · Highland, Il
- O•••• W•••••• I••• BD affiliatedMar 1, 2001 to Jun 17, 2003 · Highland, Il
- M• F•••••••• S•••••••• I••• unclassifiedSep 29, 2000 to Feb 28, 2005 · Highland, Il
- N•• A•••••• S•••••••• L•• to W•••• F•••• A•••••••left Feb 22, 2016, registered Apr 4, 2016 (42 days) · Other
- S••••••• F•••••••• I•• to N•• A•••••• S•••••••• L••left Dec 31, 2005, registered Feb 28, 2005 (-306 days) · Other
- M• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Feb 28, 2005, registered Mar 1, 2001 (-1460 days) · Other
- O•••• W•••••• I••• to S••••••• F•••••••• I••left Jun 17, 2003, registered Feb 1, 2002 (-501 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address