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••••• R••••• W•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 19, 2023 · Frontenac, Mo
- O••••••••• • C•• I••• BD affiliatedSep 22, 2015 to Apr 21, 2023 · St. Louis, Mo
- U••• B•••••• I••••••••• I••• formerApr 29, 2011 to Sep 22, 2015 · Saint Louis, Mo
- P•• W••••• M••••••••• BD affiliatedMar 31, 2010 to Apr 18, 2011 · St. Louis, Mo
- E•••••••• A•••••••• L•• national BDMar 25, 2009 to Aug 7, 2009 · Creve Coeur, Mo
- E••••• J•••• national BDOct 20, 2008 to Jan 15, 2009 · Kirkwood, Mo
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 21, 2023, registered Apr 19, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• I••••••••• I••• to O••••••••• • C•• I•••left Sep 22, 2015, registered Sep 22, 2015 (0 days) · Other
- P•• W••••• M••••••••• to U••• B•••••• I••••••••• I•••left Apr 18, 2011, registered Apr 29, 2011 (11 days) · Other
- E•••••••• A•••••••• L•• to P•• W••••• M•••••••••left Aug 7, 2009, registered Mar 31, 2010 (236 days) · Other
- E••••• J•••• to E•••••••• A•••••••• L••left Jan 15, 2009, registered Mar 25, 2009 (69 days) · Affiliated broker-dealer or bank to another
- J••••• R••••• W••••• left O••••••••• • C•• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-04-19)Apr 21, 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
- 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