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.
O••• R• Q••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Mar 24, 2017 · Chicago, Il
- V• W••••• A••••••• L•• formerJul 31, 2013 to Mar 24, 2017 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedApr 2, 2004 to Nov 12, 2013 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseApr 3, 2002 to Apr 2, 2004 · St. Louis, Mo
- V• W••••• A••••••• L•• to H•••••••• A•••••••• L••left Mar 24, 2017, registered Mar 24, 2017 (0 days) · Other · moved with a team
- L•• F•••••••• L•• to V• W••••• A••••••• L••left Nov 12, 2013, registered Jul 31, 2013 (-104 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Apr 2, 2004, registered Apr 2, 2004 (0 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address