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••••• M• C•••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 12, 2015 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseSep 2, 2014 to Oct 15, 2015 · St. Louis, Mo
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJun 18, 2012 to Jun 25, 2014 · Saint Charles, Mo
- S••••• F•••••••• S•••••••• I••• formerMar 15, 2012 to Jun 19, 2012 · St Charles, Mo
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 15, 2015, registered Nov 12, 2015 (28 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to W•••• F•••• A•••••••left Jun 25, 2014, registered Sep 2, 2014 (69 days) · Other
- S••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 19, 2012, registered Jun 18, 2012 (-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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address