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.
L••• C•••••••• M•••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jul 21, 2022 · St Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 28, 2021 to Jul 15, 2022 · St. Louis, Mo
- J••• M••••• S••••••••• L•• wirehouseJun 25, 2021 to Jul 21, 2021 · Brentwood, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••left Jul 15, 2022, registered Jul 21, 2022 (6 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 21, 2021, registered Sep 28, 2021 (69 days) · Wirehouse to affiliated broker-dealer or bank
- L••• C•••••••• M••••• left F••••••• P••••••• A•• W•••••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2022-07-21)Jul 15, 2022 · Advisor changed firm · fact
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address