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.
A•• J••••• B••••
- E••••• J•••• national BD currentsince Sep 16, 2015 · St. Louis, Mo
- W•••••• • R••• formerMar 2, 2010 to May 24, 2010 · Independence, Mo
- L••••• F•••••••• I•• formerAug 28, 2008 to Sep 23, 2008 · Lee'S Summit, Mo
- O• I••••••••• M••••••••• C• BD affiliatedAug 21, 2008 to Aug 29, 2008 · Lees Summit, Mo
- E••••• J•••• national BDOct 26, 2006 to Jan 26, 2007 · Raymore, Mo
- W•••••• • R••• to E••••• J••••left May 24, 2010, registered Sep 16, 2015 (1941 days) · Other
- L••••• F•••••••• I•• to W•••••• • R•••left Sep 23, 2008, registered Mar 2, 2010 (525 days) · Other
- O• I••••••••• M••••••••• C• to L••••• F•••••••• I••left Aug 29, 2008, registered Aug 28, 2008 (-1 days) · Other
- E••••• J•••• to O• I••••••••• M••••••••• C•left Jan 26, 2007, registered Aug 21, 2008 (573 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address