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.
S•••• C••••••••• L•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 16, 2023 · St Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 19, 2020 to Oct 17, 2023 · Chesterfield, Mo
- U••• B•••••• I••••••••• I••• formerSep 30, 2011 to Dec 1, 2020 · Troy, Mo
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 30, 2011 · Clayton, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 14, 2006 to Jun 1, 2009 · Clayton, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• A••••••• L••left Oct 17, 2023, registered Oct 16, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 1, 2020, registered Nov 19, 2020 (-12 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to U••• B•••••• I••••••••• I•••left Aug 30, 2011, registered Sep 30, 2011 (31 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S•••• C••••••••• L••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-10-16)Oct 17, 2023 · 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
- 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