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••• M••••••• M•••••••
- F•••••• W•••••• I••• independent RIA currentsince Jul 16, 2018 · St. Louis, Mo
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 20, 2016 to Jul 12, 2018 · St. Loui, Mo
- N•• A•••••• S•••••••• L•• formerSep 2, 2005 to Sep 22, 2016 · St. Louis, Mo
- K••••• A••••••• S•••••••• L•• to F•••••• W•••••• I•••left Jul 12, 2018, registered Jul 16, 2018 (4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 20, 2016 (-155 days) · corporate re-registration, not a move
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