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.
M•••••• C••••
- T••••••• I••••••••• M••••••••• I••• BD affiliated currentsince Jul 1, 2020 · St Louis, Mo
- A• W••••• M••••••••• L•• BD affiliatedFeb 5, 2020 to Jun 5, 2020 · Valley Park, Mo
- W•••• F•••• A••••••• wirehouseMar 27, 2019 to Jan 21, 2020 · St. Louis, Mo
- C•••• C•••••• S••••••••• L••• formerMay 10, 2018 to Mar 22, 2019 · Chesterfield, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 17, 2017 · St. Louis, Mo
- M•• F•••••••• S•••••••• I••• formerMar 1, 2017 to Mar 25, 2017 · St. Louis, Mo
- E•••••••• A•••••••• L•• national BDSep 8, 2015 to Sep 12, 2016 · Creve Coeur, Mo
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 4, 2013 to May 1, 2014 · Chesterfield, Mo
- E••••• J•••• national BDFeb 14, 2012 to Oct 24, 2012 · St Louis, Mo
- A• W••••• M••••••••• L•• to T••••••• I••••••••• M••••••••• I•••left Jun 5, 2020, registered Jul 1, 2020 (26 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to A• W••••• M••••••••• L••left Jan 21, 2020, registered Feb 5, 2020 (15 days) · Wirehouse to independent RIA
- C•••• C•••••• S••••••••• L••• to W•••• F•••• A•••••••left Mar 22, 2019, registered Mar 27, 2019 (5 days) · RIA to wirehouse
- M•• I•••••••• S•••••••• L•• to C•••• C•••••• S••••••••• L•••left Oct 17, 2017, registered May 10, 2018 (205 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 12, 2016, registered Mar 1, 2017 (170 days) · Other
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left May 1, 2014, registered Sep 8, 2015 (495 days) · Other
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Oct 24, 2012, registered Mar 4, 2013 (131 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address