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.
M•••••• C•••••• L•••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 13, 2012 · St. Louis, Mo
- M••••• K••••• • C••••••• L•• formerNov 2, 2011 to Mar 13, 2012 · Creve Coeur, Mo
- E••••• J•••• national BDMar 19, 2008 to Apr 13, 2010 · St Louis, Mo
- M••••• K••••• • C••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Mar 13, 2012, registered Mar 13, 2012 (0 days) · Other
- E••••• J•••• to M••••• K••••• • C••••••• L••left Apr 13, 2010, registered Nov 2, 2011 (568 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address