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.
B•••• T••••• L•••••
- F••••• M••••• W••••• A•••••••• L•• independent RIA currentsince Jan 3, 2024 · Bowling Green, Ky
- N•• A•••••• S•••••••• L•• formerDec 2, 2013 to Apr 19, 2016 · St. Louis, Mo
- C•••••• S••••• • C••• I••• national BDAug 5, 2008 to Dec 13, 2013 · Clayton, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 13, 2006 to Jun 16, 2008 · Chesterfield, Mo
- N•• A•••••• S•••••••• L•• to F••••• M••••• W••••• A•••••••• L••left Apr 19, 2016, registered Jan 3, 2024 (2815 days) · Other
- C•••••• S••••• • C••• I••• to N•• A•••••• S•••••••• L••left Dec 13, 2013, registered Dec 2, 2013 (-11 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 16, 2008, registered Aug 5, 2008 (50 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address