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.
S•••• D•••• B••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 12, 2023 · St. Louis, Mo
- K••••• A••••••• S•••••••• L•• BD affiliatedJun 25, 2018 to Sep 8, 2023 · Ellisville, Mo
- D••••• F•••••••• M••••••••• I••• state registeredMar 17, 2016 to Feb 7, 2018 · Sunset Hills, Mo
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 8, 2023, registered Oct 12, 2023 (34 days) · Affiliated broker-dealer or bank to another
- D••••• F•••••••• M••••••••• I••• to K••••• A••••••• S•••••••• L••left Feb 7, 2018, registered Jun 25, 2018 (138 days) · Other
- S•••• D•••• B•••• left K••••• A••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2023-10-12)Sep 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address