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.
M•••••• E••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · St Louis, Mo
- S•• I••••••••• I••• formerJul 7, 2016 to Feb 14, 2018 · St Louis, Mo
- M•• F•••••••• S•••••••• I••• formerApr 4, 2007 to Jul 8, 2016 · St. Louis, Mo
- P•••• S••••••••• L•• no RAUMMar 28, 2003 to Apr 2, 2007 · Overland Park, Ks
- P••••••••• E••••• G••••• L•• unclassifiedJan 1, 2002 to Mar 13, 2003 · St Louis, Mo
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to S•• I••••••••• I•••left Jul 8, 2016, registered Jul 7, 2016 (-1 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 2, 2007, registered Apr 4, 2007 (2 days) · Other
- P••••••••• E••••• G••••• L•• to P•••• S••••••••• L••left Mar 13, 2003, registered Mar 28, 2003 (15 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address