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.
T•••• R•••••••••
- Q••••••••• W••••• M••••••••• L•• state registered currentsince Dec 23, 2014 · St. Charles, Mo
- W•••• F•••• A••••••• wirehouseApr 5, 2007 to Jan 2, 2015 · Chesterfield, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 2006 to Apr 12, 2007 · Chesterfield, Mo
- M••••• S•••••• D• I••• unclassifiedJan 1, 2002 to May 9, 2006 · Chesterfield, Mo
- W•••• F•••• A••••••• to Q••••••••• W••••• M••••••••• L••left Jan 2, 2015, registered Dec 23, 2014 (-10 days) · Wirehouse to a state-registered adviser
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 12, 2007, registered Apr 5, 2007 (-7 days) · Other
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left May 9, 2006, registered May 5, 2006 (-4 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