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.
W•••••• B•••••••••
- F•••• A•••••• S••••••••• L•• independent RIA currentsince Dec 14, 2018 · St. Louis, Mo
- L•• F•••••••• I••• formerJun 22, 2017 to Dec 14, 2018 · San Jose, Ca
- S•••••••• A••••••• L•• national BDMar 25, 2008 to May 5, 2017 · Merrimack, Nh
- L•• F•••••••• I••• to F•••• A•••••• S••••••••• L••left Dec 14, 2018, registered Dec 14, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••••• A••••••• L•• to L•• F•••••••• I•••left May 5, 2017, registered Jun 22, 2017 (48 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address