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.
J••••• D•••• W••••••
- W•••••• F•••••••• P••••••• L•• state registered currentsince Oct 28, 2015 · St. Charles, Mo
- S•••••••• I••••••••• I••• formerJan 2, 2013 to Oct 1, 2015 · Dayton, Oh
- D•••• W••••• M••••••••• G••••• L•• unclassifiedJan 14, 2011 to May 10, 2011 · Chesterfield, Mo
- S•••••••• I••••••••• I••• to W•••••• F•••••••• P••••••• L••left Oct 1, 2015, registered Oct 28, 2015 (27 days) · Other
- D•••• W••••• M••••••••• G••••• L•• to S•••••••• I••••••••• I•••left May 10, 2011, registered Jan 2, 2013 (603 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address