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.
K•••• S•• J•••
- W•••• F•••• A••••••• wirehouse currentsince Sep 6, 2024 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseSep 28, 2022 to Jul 30, 2026 · St. Louis, Mo
- E••••• J•••• national BDAug 13, 2019 to Jul 26, 2022 · St Louis, Mo
- W•••• F•••• A••••••• wirehouseFeb 23, 2017 to Jul 24, 2019 · St. Louis, Mo
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jul 30, 2026, registered Sep 6, 2024 (-692 days) · channel change inside one enterprise, not a move
- E••••• J•••• to W•••• F•••• A•••••••left Jul 26, 2022, registered Sep 28, 2022 (64 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- W•••• F•••• A••••••• to E••••• J••••left Jul 24, 2019, registered Aug 13, 2019 (20 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- K•••• S•• J••• left E••••• J•••• for W•••• F•••• A••••••• (registered 2022-09-28)Jul 26, 2022 · 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address