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•••••• H••••••
- L••••• F•••••••• G••••• L•• BD affiliated currentsince Mar 25, 2020 · Saint Louis, Mo
- T• A••••••••• I••• formerJan 31, 2018 to Mar 2, 2020 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2018 to Mar 2, 2020 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerNov 3, 2014 to Apr 7, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerJun 22, 2012 to Nov 3, 2014 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 22, 2012 to Nov 3, 2014 · St. Louis, Mo
- E••••• J•••• national BDOct 6, 2009 to Jun 18, 2012 · Florissant, Mo
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Mar 2, 2020, registered Jan 31, 2018 (-761 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 2, 2020, registered Jan 31, 2018 (-761 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Apr 7, 2018, registered Jan 31, 2018 (-66 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Nov 3, 2014, registered Nov 3, 2014 (0 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Nov 3, 2014, registered Jun 22, 2012 (-864 days) · channel change inside one enterprise, not a move
- E••••• J•••• to T• A••••••••• I•••left Jun 18, 2012, registered Jun 22, 2012 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address