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.
S•••••• P••• M•••••• R•••••
- S•••••• W••••• L•• independent RIA currentsince Jan 11, 2012 · St. Louis, Mo
- G•••••• F•••••••• C•••• formerApr 27, 2011 to Dec 16, 2011 · New York, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 23, 2007 to Apr 20, 2011 · St. Albans Rd, Mo
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedSep 19, 2006 to Oct 22, 2007 · Festus, Mo
- G•••••• F•••••••• C•••• to S•••••• W••••• L••left Dec 16, 2011, registered Jan 11, 2012 (26 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to G•••••• F•••••••• C••••left Apr 20, 2011, registered Apr 27, 2011 (7 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 22, 2007, registered Oct 23, 2007 (1 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address