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••••••• G••••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Saint Louis, Mo
- W•••••• • R••• formerFeb 1, 2016 to Jul 21, 2021 · Edmond, Ok
- F•••• T•••• S••••••••• I••• BD affiliatedDec 22, 2011 to Feb 3, 2016 · Weldon Springs, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Dec 12, 2011 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 9, 2009 to Oct 23, 2009 · Chesterfield, Mo
- U•• F•••••••• S••••••• I••• wirehouseDec 20, 2006 to May 13, 2009 · Chesterfield, Mo
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- F•••• T•••• S••••••••• I••• to W•••••• • R•••left Feb 3, 2016, registered Feb 1, 2016 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••• T•••• S••••••••• I•••left Dec 12, 2011, registered Dec 22, 2011 (10 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 13, 2009, registered Sep 9, 2009 (119 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address