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.
- K•••••• independent RIA currentsince Feb 23, 2012 · St. Louis, Mo
- S••••• F•••••••• S•••••••• I••• formerOct 31, 2011 to Jan 3, 2012 · St Charles, Mo
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMay 6, 2010 to Nov 17, 2011 · St. Charles, Mo
- S••••••• F•••••••• S•••••••• I••• formerOct 8, 2009 to May 5, 2010 · St. Louis, Mo
- S••••• F•••••••• S•••••••• I••• to K••••••left Jan 3, 2012, registered Feb 23, 2012 (51 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• F•••••••• S•••••••• I•••left Nov 17, 2011, registered Oct 31, 2011 (-17 days) · Other
- S••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 5, 2010, registered May 6, 2010 (1 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address