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.
L•••• M•••• S••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 14, 2024 · Chicago, Il
- M••••• F••••• O••••• independent RIAJan 30, 2018 to Aug 2, 2023 · St Louis, Mo
- M••••• G•••• I••••••••• A•••••••• L•• independent RIAOct 2, 2015 to Jan 2, 2018 · St. Louis, Mo
- M••••• F••••• O••••• to H•••••••• A•••••••• L••left Aug 2, 2023, registered Feb 14, 2024 (196 days) · RIA to affiliated broker-dealer or bank
- M••••• G•••• I••••••••• A•••••••• L•• to M••••• F••••• O•••••left Jan 2, 2018, registered Jan 30, 2018 (28 days) · Other
- L•••• M•••• S•••••• left M••••• F••••• O••••• for H•••••••• A•••••••• L•• (registered 2024-02-14)Aug 2, 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
- 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