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.
J••• T•••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 16, 2023 · Pittsburg, Ks
- C••••••• B•••••••• S•••••••• I•• formerNov 5, 2015 to Aug 16, 2023 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2014 to Oct 1, 2015 · Olivette, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Jan 27, 2014 · Schaumburg, Il
- C••••• I••••••••• S••••••• L•• formerFeb 19, 2013 to Jan 21, 2014 · Springfield, Mo
- E••••• J•••• national BDNov 10, 2009 to Nov 1, 2012 · Ozark, Mo
- C••••••• B•••••••• S•••••••• I•• to L•• F•••••••• L••left Aug 16, 2023, registered Aug 16, 2023 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• B•••••••• S•••••••• I••left Oct 1, 2015, registered Nov 5, 2015 (35 days) · Other
- C••••• I••••••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 27, 2014, registered Oct 9, 2014 (255 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Nov 1, 2012, registered Feb 19, 2013 (110 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address