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.
R••• W•••••• P••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 3, 2021 · Chesterfield, Mo
- C•••••• A••••••• BD affiliatedJun 21, 2019 to Jul 11, 2019 · St. Louis, Mo, Mo
- U••• I••••••••• S••••••• C•••••• no RAUMApr 7, 2008 to Nov 4, 2008 · San Antonio, Tx
- C•••••• T•••• B••• unclassifiedApr 3, 2006 to Jul 27, 2007 · Highland, Il
- C•••••• A••••••• to M•• I•••••••• S•••••••• L••left Jul 11, 2019, registered Aug 3, 2021 (754 days) · Affiliated broker-dealer or bank to another
- U••• I••••••••• S••••••• C•••••• to C•••••• A•••••••left Nov 4, 2008, registered Jun 21, 2019 (3881 days) · Other
- C•••••• T•••• B••• to U••• I••••••••• S••••••• C••••••left Jul 27, 2007, registered Apr 7, 2008 (255 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address