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.
S•••••• C••• E••••••
- E••••• J•••• national BD currentsince Jun 3, 2025 · St. Louis, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 11, 2023 to May 23, 2025 · O'Fallon, Mo
- W•••• F•••• A••••••• wirehouseSep 4, 2014 to Jan 17, 2023 · St. Louis, Mo
- C•••••••• G••••• M•••••• I••• to E••••• J••••left May 23, 2025, registered Jun 3, 2025 (11 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Jan 17, 2023, registered Jan 11, 2023 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• C••• E•••••• left C•••••••• G••••• M•••••• I••• for E••••• J•••• (registered 2025-06-03)May 23, 2025 · Advisor changed firm · fact
- S•••••• C••• E•••••• left W•••• F•••• A••••••• for C•••••••• G••••• M•••••• I••• (registered 2023-01-11)Jan 17, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address