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.
D•••••• G• G•••••••••
- E••••• J•••• national BD currentsince Jul 25, 2018 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerMay 3, 2017 to Mar 9, 2018 · Saint Louis, Mo
- W•••••• • R••• formerMay 5, 2009 to Jan 20, 2011 · Edmond, Ok
- S•••••••• I••••••••• M••••••••• to E••••• J••••left Mar 9, 2018, registered Jul 25, 2018 (138 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••••• • R••• to S•••••••• I••••••••• M•••••••••left Jan 20, 2011, registered May 3, 2017 (2295 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address