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.
T••••• C•••• E••••••
- C••••••• P••••••• independent RIA currentsince Feb 8, 2022 · Wright City, Mo
- F•••• A•••••• S••••••••• L•• independent RIAJan 23, 2019 to Feb 14, 2022 · St. Louis, Mo
- E••••• J•••• national BDApr 28, 2014 to Jan 3, 2019 · St. Louis, Mo
- P•••••••• S••••••••• I••• BD affiliatedJul 14, 2006 to Apr 10, 2014 · Hutchinson, Ks
- F•••• A•••••• S••••••••• L•• to C••••••• P•••••••left Feb 14, 2022, registered Feb 8, 2022 (-6 days) · RIA to RIA
- E••••• J•••• to F•••• A•••••• S••••••••• L••left Jan 3, 2019, registered Jan 23, 2019 (20 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to E••••• J••••left Apr 10, 2014, registered Apr 28, 2014 (18 days) · Other
- T••••• C•••• E•••••• left F•••• A•••••• S••••••••• L•• for C••••••• P••••••• (registered 2022-02-08)Feb 14, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address