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•••• R• L•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 29, 2016 · Des Peres, Mo
- R•• A•••••••• L•• independent RIAJun 10, 2016 to Aug 10, 2016 · Creve Coeur, Mo
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerOct 26, 2007 to Apr 29, 2016 · Sunset Hills, Mo
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJul 19, 2006 to Oct 26, 2007 · Houston, Tx
- R•• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 10, 2016, registered Aug 29, 2016 (19 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to R•• A•••••••• L••left Apr 29, 2016, registered Jun 10, 2016 (42 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 26, 2007, registered Oct 26, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address