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.
P••• A••••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2022 · Kirkwood, Mo
- U••• B•••••• I••••••••• I••• formerDec 3, 2019 to Mar 11, 2022 · Saint Louis, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedFeb 15, 2019 to Oct 1, 2019 · St. Louis, Mo
- A••••••••• F•••••••• S•••••••• L•• national BDSep 11, 2018 to Jan 9, 2019 · Washington, Mo
- I••••••••• P••••••••• I••• formerSep 19, 2016 to Sep 11, 2018 · San Antonio, Tx
- E••••• J•••• national BDJul 15, 2013 to Aug 25, 2015 · St Louis, Mo
- U••• B•••••• I••••••••• I••• to L•• F•••••••• L••left Mar 11, 2022, registered Mar 25, 2022 (14 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••• C••••••• A••••••• S•••••• to U••• B•••••• I••••••••• I•••left Oct 1, 2019, registered Dec 3, 2019 (63 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to M•••• C••••••• A••••••• S••••••left Jan 9, 2019, registered Feb 15, 2019 (37 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 11, 2018, registered Sep 11, 2018 (0 days) · corporate re-registration, not a move
- E••••• J•••• to I••••••••• P••••••••• I•••left Aug 25, 2015, registered Sep 19, 2016 (391 days) · Other
- P••• A••••• G•••• left U••• B•••••• I••••••••• I••• for L•• F•••••••• L•• (registered 2022-03-25)Mar 11, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address