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.
R••• M•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 21, 2020 to Mar 31, 2025 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 22, 2018 to Sep 15, 2020 · Brentwood, Tn
- T• A••••••••• I••• formerMar 15, 2018 to Sep 15, 2020 · St. Louis, Mo
- S•••••••• I••••••••• M••••••••• formerMar 17, 2016 to Mar 20, 2018 · Saint Louis, Mo
- E•••••• C•••••• M••••••••• L•• formerJul 14, 2014 to Aug 5, 2014 · Arlington, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 1, 2011 to Apr 16, 2014 · Forth Worth, Tx
- T• A••••••••• I••• formerMar 1, 2011 to Apr 16, 2014 · Westlake, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 15, 2020, registered Dec 21, 2020 (97 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 15, 2020, registered Mar 22, 2018 (-908 days) · channel change inside one enterprise, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I•••left Mar 20, 2018, registered Mar 15, 2018 (-5 days) · channel change inside one enterprise, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Aug 5, 2014, registered Mar 17, 2016 (590 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Apr 16, 2014, registered Jul 14, 2014 (89 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 16, 2014, registered Mar 1, 2011 (-1142 days) · channel change inside one enterprise, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address