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.
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R••• P•••• M•••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Oct 6, 2020 · St. Louis, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 5, 2020 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Oct 5, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMay 25, 2016 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 2, 2015 to May 25, 2016 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJun 15, 2011 to Dec 9, 2014 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseApr 27, 2011 to May 25, 2016 · St. Louis, Mo
- W•••••• • R••• formerNov 6, 2008 to Oct 19, 2009 · Edmond, Ok
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 5, 2020, registered Feb 27, 2018 (-951 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to O••••••••• • C•• I•••left Oct 5, 2020, registered Oct 6, 2020 (1 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left May 25, 2016, registered May 25, 2016 (0 days) · Other
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left May 25, 2016, registered Jun 15, 2011 (-1806 days) · channel change inside one enterprise, not a move
- W•••••• • R••• to W•••• F•••• A•••••••left Oct 19, 2009, registered Apr 27, 2011 (555 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address