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••••••• L•• F••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince May 19, 2015 · St Charles, Mo
- R••••••• H••••••• I••••••••• A•••••••• I••• formerOct 17, 2011 to Jul 26, 2012 · Glen Carbon, Il
- E••••• J•••• national BDJul 30, 2009 to Dec 8, 2009 · St Louis, Mo
- R••••••• H••••••• I••••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jul 26, 2012, registered May 19, 2015 (1027 days) · Other
- E••••• J•••• to R••••••• H••••••• I••••••••• A•••••••• I•••left Dec 8, 2009, registered Oct 17, 2011 (678 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