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.
- W•••• F•••• A••••••• wirehouse currentsince Jan 26, 2017 · St. Louis, Mo
- S•••••••• A••••••• L•• national BDAug 21, 2012 to Jan 6, 2017 · St. Louis, Mo
- E••••• J•••• national BDMar 1, 2012 to Jul 26, 2012 · St Louis, Mo
- S•••••••• A••••••• L•• national BDJan 14, 2011 to Feb 13, 2012 · Covington, Ky
- S•••••••• A••••••• L•• to W•••• F•••• A•••••••left Jan 6, 2017, registered Jan 26, 2017 (20 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to S•••••••• A••••••• L••left Jul 26, 2012, registered Aug 21, 2012 (26 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to E••••• J••••left Feb 13, 2012, registered Mar 1, 2012 (17 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address