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••••• S•••••• wirehouse currentsince Apr 1, 2022 · Clayton, Mo
- U•• F•••••••• S••••••• I••• wirehouseJan 30, 2009 to Apr 21, 2022 · Clayton, Mo
- O••••••••• • C•• I••• BD affiliatedAug 21, 2006 to Feb 3, 2009 · St. Louis, Mo
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Apr 21, 2022, registered Apr 1, 2022 (-20 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Feb 3, 2009, registered Jan 30, 2009 (-4 days) · Other
- J••• F• E••••••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2022-04-01)Apr 21, 2022 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address