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••• T••••• H••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Sep 19, 2016 · Cameron, Mo
- E••••• J•••• national BDMay 13, 2016 to Jun 23, 2016 · Gallatin, Mo
- B•• F•••••••• M••••••••• C•• state registeredMay 1, 2014 to Jan 19, 2016 · Bethany, Mo
- N•••••• F•••••••• G••••• I••• independent RIAJul 29, 2013 to Dec 31, 2013 · Bethany, Mo
- E••••• J•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 23, 2016, registered Sep 19, 2016 (88 days) · Other
- B•• F•••••••• M••••••••• C•• to E••••• J••••left Jan 19, 2016, registered May 13, 2016 (115 days) · Other
- N•••••• F•••••••• G••••• I••• to B•• F•••••••• M••••••••• C••left Dec 31, 2013, registered May 1, 2014 (121 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address