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••• H••••••• E••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 28, 2021 · Clayton, Mo
- U••• B•••••• I••••••••• I••• formerDec 20, 2007 to Jul 9, 2021 · Crestwood, Mo
- B••••••••• L•• formerAug 8, 2007 to Jan 2, 2008 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 5, 2004 to Nov 30, 2005 · Clayton, Mo
- U••• B•••••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 9, 2021, registered Jun 28, 2021 (-11 days) · Affiliated broker-dealer or bank to another
- B••••••••• L•• to U••• B•••••• I••••••••• I•••left Jan 2, 2008, registered Dec 20, 2007 (-13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••••• L••left Nov 30, 2005, registered Aug 8, 2007 (616 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