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.
J•••• M•••••• L•••
- J• L••• C•••••• M••••••••• L•• state registered currentsince Jul 28, 2014 · Clayton, Mo
- D•••••••• • C••••••• L••••• formerJul 21, 2009 to Sep 30, 2014 · Maryville, Il
- N•• A•••••• S•••••••• L•• formerJun 18, 2007 to Jul 2, 2009 · Glen Carbon, Il
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJan 6, 2005 to Jun 18, 2007 · Edwardsville, Il
- D•••••••• • C••••••• L••••• to J• L••• C•••••• M••••••••• L••left Sep 30, 2014, registered Jul 28, 2014 (-64 days) · Other
- N•• A•••••• S•••••••• L•• to D•••••••• • C••••••• L•••••left Jul 2, 2009, registered Jul 21, 2009 (19 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to N•• A•••••• S•••••••• L••left Jun 18, 2007, registered Jun 18, 2007 (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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address