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.
J••••• C• R•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Columbia, Il
- P•••• S••••••••• L•• no RAUMApr 16, 2024 to Nov 14, 2024 · Swansea, Il
- P•• W••••• M••••••••• BD affiliatedAug 15, 2019 to Apr 17, 2024 · St. Louis, Mo
- E••••• J•••• national BDMay 10, 2019 to Jul 26, 2019 · Belleville, Il
- C•••••• W••••• independent RIADec 19, 2018 to Feb 28, 2019 · St. Louis, Mo
- E••••• J•••• national BDMay 22, 2015 to Dec 17, 2018 · Maryland Heights, Mo
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to P•••• S••••••••• L••left Apr 17, 2024, registered Apr 16, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to P•• W••••• M•••••••••left Jul 26, 2019, registered Aug 15, 2019 (20 days) · Affiliated broker-dealer or bank to another
- C•••••• W••••• to E••••• J••••left Feb 28, 2019, registered May 10, 2019 (71 days) · RIA to affiliated broker-dealer or bank
- E••••• J•••• to C•••••• W•••••left Dec 17, 2018, registered Dec 19, 2018 (2 days) · Affiliated broker-dealer or bank to independent RIA
- J••••• C• R••••• left P•• W••••• M••••••••• for P•••• S••••••••• L•• (registered 2024-04-16)Apr 17, 2024 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address