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•••••• W•••• D•••••
- D••••• W••••• M••••••••• L•• state registered currentsince Jun 24, 2016 · St. Peters, Mo
- I••••••• F•••••••• S••••••• unclassifiedMay 5, 2016 to Jun 7, 2016 · St. Peters, Mo
- P•••••• A•••••• G••••• L•• BD affiliatedDec 20, 2013 to Mar 21, 2016 · St. Peters, Mo
- V•• A••••••• S••••••• formerAug 20, 2009 to Dec 16, 2013 · Saint Peters, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDJan 1, 2001 to Aug 25, 2009 · St Peters, Mo
- I••••••• F•••••••• S••••••• to D••••• W••••• M••••••••• L••left Jun 7, 2016, registered Jun 24, 2016 (17 days) · Other
- P•••••• A•••••• G••••• L•• to I••••••• F•••••••• S•••••••left Mar 21, 2016, registered May 5, 2016 (45 days) · Other
- V•• A••••••• S••••••• to P•••••• A•••••• G••••• L••left Dec 16, 2013, registered Dec 20, 2013 (4 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to V•• A••••••• S•••••••left Aug 25, 2009, registered Aug 20, 2009 (-5 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address