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•••••• M•••••• S••••
- H•••••••• A•••••••• I••• BD affiliated currentsince Jan 8, 2021 · St. Louis, Mo
- D•••••• I••••••••• S••••••• I•• formerOct 24, 2017 to Mar 28, 2023 · St. Louis, Mo
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJan 30, 2014 to Oct 25, 2017 · Ellisville, Mo
- D•••••• I••••••••• S••••••• I•• formerSep 1, 2011 to Jan 28, 2014 · Clayton, Mo
- C••••••••• A••••••• formerOct 4, 2010 to Feb 15, 2012 · Eureka, Mo
- E••••• J•••• national BDFeb 25, 2008 to Jun 3, 2009 · Collinsville, Il
- D•••••• I••••••••• S••••••• I•• to H•••••••• A•••••••• I•••left Mar 28, 2023, registered Jan 8, 2021 (-809 days) · RIA to RIA · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to D•••••• I••••••••• S••••••• I••left Oct 25, 2017, registered Oct 24, 2017 (-1 days) · Other
- D•••••• I••••••••• S••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jan 28, 2014, registered Jan 30, 2014 (2 days) · Other
- C••••••••• A••••••• to D•••••• I••••••••• S••••••• I••left Feb 15, 2012, registered Sep 1, 2011 (-167 days) · Other
- E••••• J•••• to C••••••••• A•••••••left Jun 3, 2009, registered Oct 4, 2010 (488 days) · Other
- D•••••• M•••••• S•••• left D•••••• I••••••••• S••••••• I•• for H•••••••• A•••••••• I••• (registered 2021-01-08)Mar 28, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address