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•••••• G••••• G•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Aug 31, 2021 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseNov 7, 2019 to Aug 5, 2021 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDJan 11, 2017 to Nov 1, 2019 · St. Louis, Mo
- E••••• J•••• national BDJun 30, 2016 to Jan 6, 2017 · Maryland Heights, Mo
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Aug 5, 2021, registered Aug 31, 2021 (26 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 1, 2019, registered Nov 7, 2019 (6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- E••••• J•••• to S•••••• N••••••• • C••••••• I•••••••••left Jan 6, 2017, registered Jan 11, 2017 (5 days) · Affiliated broker-dealer or bank to another
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address