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.
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- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 30, 2018 · Frontenac, Mo
- C•••• C•••••• S••••••••• L••• formerJan 2, 2014 to Mar 22, 2018 · Chesterfield, Mo
- C•••• C•••••• S••••••••• L••• formerMar 2, 2011 to Nov 5, 2012 · Chesterfield, Mo
- F•••• C•••••• F•••••••• P•••••••• I••• formerMar 10, 2009 to Oct 9, 2009 · Town And Country, Mo
- C•••• C•••••• S••••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 22, 2018, registered Aug 30, 2018 (161 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to C•••• C•••••• S••••••••• L•••left Oct 9, 2009, registered Mar 2, 2011 (509 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address