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.
C•••• A•••••• B••••••
- E••••• J•••• national BD currentsince Jan 30, 2020 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseNov 14, 2018 to Jan 29, 2020 · St. Louis, Mo
- K•••••• C•••••• M••••••••• otherFeb 15, 2018 to Nov 7, 2018 · St Louis, Mo
- S•••••••• I••••••••• M••••••••• formerMar 20, 2014 to Oct 11, 2017 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseMay 6, 2011 to Jun 20, 2013 · St. Louis, Mo
- U••• B•••••• I••••••••• I••• formerDec 12, 2007 to Apr 21, 2011 · St. Louis, Mo
- W•••• F•••• A••••••• to E••••• J••••left Jan 29, 2020, registered Jan 30, 2020 (1 days) · Wirehouse to affiliated broker-dealer or bank
- K•••••• C•••••• M••••••••• to W•••• F•••• A•••••••left Nov 7, 2018, registered Nov 14, 2018 (7 days) · Other
- S•••••••• I••••••••• M••••••••• to K•••••• C•••••• M•••••••••left Oct 11, 2017, registered Feb 15, 2018 (127 days) · Other
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Jun 20, 2013, registered Mar 20, 2014 (273 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Apr 21, 2011, registered May 6, 2011 (15 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address