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.
P••• D•••••• L•••••
- L••••• C•••••• M••••••••• L•• asset manager currentsince Jul 8, 2019 · Chesterfield, Mo
- L••••• F•••••••• G••••• L•• BD affiliated currentsince Jul 19, 2007 · Saint Louis, Mo
- L••••• W••••• P••••••• formerJul 21, 2020 to Mar 28, 2022 · Chesterfield, Mo
- C••••• A•••••• N••••••• L•• formerJun 21, 2006 to Jul 29, 2010 · St. Louis, Mo
- S••••••• F•••••••• S•••••••• I••• formerJan 27, 2006 to Jun 1, 2006 · St Louis, Mo
- M••••••• A•••••••• I•• unclassifiedJan 28, 2004 to Jun 5, 2006 · Minneapolis, Mn
- L••••• W••••• P••••••• to no registered destinationleft Mar 28, 2022 · Departure, no registered destination
- C••••• A•••••• N••••••• L•• to L••••• F•••••••• G••••• L••left Jul 29, 2010, registered Jul 19, 2007 (-1106 days) · Other
- M••••••• A•••••••• I•• to S••••••• F•••••••• S•••••••• I•••left Jun 5, 2006, registered Jan 27, 2006 (-129 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C••••• A•••••• N••••••• L••left Jun 1, 2006, registered Jun 21, 2006 (20 days) · Other
- P••• D•••••• L••••• no longer registered at L••••• W••••• P•••••••; no later IA registration on IAPDMar 28, 2022 · a•••••• departure · fact
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