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••••• W•••••• H••••
- W•••• F•••• A••••••• wirehouse currentsince May 8, 2019 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 10, 2019 to May 3, 2019 · St. Louis, Mo
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2017 to Dec 31, 2018 · Northbrook, Il
- M••••• S•••••• wirehouseJun 18, 2015 to Jan 25, 2017 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2011 to Jun 16, 2015 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left May 3, 2019, registered May 8, 2019 (5 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Dec 31, 2018, registered Apr 10, 2019 (100 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 25, 2017, registered Jan 30, 2017 (5 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jun 16, 2015, registered Jun 18, 2015 (2 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address