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.
M•••••• B• E••••••••
- C••••••••• W••••• M••••••••• L•• independent RIA currentsince Oct 20, 2014 · St. Peters, Mo
- R•••••• J•••• • A••••••••• I••• national BDNov 12, 2007 to Oct 8, 2014 · St Louis, Mo
- U•• F•••••••• S••••••• I••• wirehouseMay 15, 2006 to Nov 21, 2007 · Clayton, Mo
- R•••••• J•••• • A••••••••• I••• to C••••••••• W••••• M••••••••• L••left Oct 8, 2014, registered Oct 20, 2014 (12 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 21, 2007, registered Nov 12, 2007 (-9 days) · Wirehouse to affiliated broker-dealer or bank
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