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.
D•••• J• S•••••
- T•• G••••• A•••• M••••••••• L•• independent RIA currentsince Dec 2, 2022 · Brentwood, Tn
- T•• A•••••••• L•• formerJul 8, 2016 to Mar 3, 2023 · Brentwood, Tn
- W•••• F•••• A••••••• wirehouseAug 13, 2014 to Oct 14, 2014 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseMar 7, 2012 to Jun 23, 2016 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseOct 3, 2011 to Jan 20, 2012 · Creve Coeur, Mo
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 7, 2009 to Jun 11, 2010 · Downers Grove, Il
- T•• A•••••••• L•• to T•• G••••• A•••• M••••••••• L••left Mar 3, 2023, registered Dec 2, 2022 (-91 days) · RIA to RIA
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 23, 2016, registered Aug 13, 2014 (-680 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to T•• A•••••••• L••left Oct 14, 2014, registered Jul 8, 2016 (633 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jan 20, 2012, registered Mar 7, 2012 (47 days) · channel change inside one enterprise, not a move
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Jun 11, 2010, registered Oct 3, 2011 (479 days) · Other
- D•••• J• S••••• left T•• A•••••••• L•• for T•• G••••• A•••• M••••••••• L•• (registered 2022-12-02)Mar 3, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address