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.
D•••• I•••••• F•••••••••
- I•••••••• A•••••••• L•• BD affiliated currentsince May 10, 2021 · Urbandale, Ia
- O•••• F•• I••• formerMay 25, 2018 to May 10, 2021 · Ballwin, Mo
- U••• B•••••• I••••••••• I••• formerSep 30, 2011 to Apr 16, 2018 · Clayton, Mo
- E••••• J•••• national BDJan 6, 2010 to Sep 29, 2011 · St Louis, Mo
- O•••• F•• I••• to I•••••••• A•••••••• L••left May 10, 2021, registered May 10, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA
- U••• B•••••• I••••••••• I••• to O•••• F•• I•••left Apr 16, 2018, registered May 25, 2018 (39 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Sep 29, 2011, registered Sep 30, 2011 (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
- 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