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.
W••• P••• B•••••
- A•• F•••••••• A•••••••• L•• independent RIA currentsince Sep 12, 2019 · Rockledge, Fl
- S•••••• A•• L•• mixed wealthJul 15, 2019 to Sep 16, 2019 · Saint Joseph, Mo
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedJan 13, 2017 to Jul 25, 2017 · Riverside, Mo
- E••••• J•••• national BDNov 6, 2013 to Sep 23, 2016 · St Louis, Mo
- S•••••• A•• L•• to A•• F•••••••• A•••••••• L••left Sep 16, 2019, registered Sep 12, 2019 (-4 days) · RIA to a newly registered adviser
- B•••••• L••• A••••••• S•••••••• I••• to S•••••• A•• L••left Jul 25, 2017, registered Jul 15, 2019 (720 days) · Other
- E••••• J•••• to B•••••• L••• A••••••• S•••••••• I•••left Sep 23, 2016, registered Jan 13, 2017 (112 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address