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••• G•••••
- M••••• G•••• I••••••••• A•••••••• L•• independent RIA currentsince Jul 11, 2019 · St. Louis, Mo
- M••••• S•••••• wirehouseJan 11, 2019 to Jul 10, 2019 · Clayton, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDNov 25, 2013 to May 3, 2018 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2013 to Nov 26, 2013 · Clayton, Mo
- E••••• J•••• national BDOct 3, 2011 to Feb 5, 2013 · Maryland Heights, Mo
- M••••• S•••••• to M••••• G•••• I••••••••• A•••••••• L••left Jul 10, 2019, registered Jul 11, 2019 (1 days) · Wirehouse to independent RIA
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left May 3, 2018, registered Jan 11, 2019 (253 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 26, 2013, registered Nov 25, 2013 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2013, registered Feb 4, 2013 (-1 days) · Affiliated broker-dealer or bank to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address