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••••••• P••••••
- W•••• F•••• A••••••• wirehouse currentsince May 10, 2021 · St. Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDFeb 21, 2020 to Nov 25, 2020 · St. Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 23, 2018 to Feb 19, 2020 · St Louis, Mo
- T• A••••••••• I••• formerOct 23, 2018 to Feb 19, 2020 · St Louis, Mo
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Nov 25, 2020, registered May 10, 2021 (166 days) · Affiliated broker-dealer or bank to wirehouse
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Feb 19, 2020, registered Feb 21, 2020 (2 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 19, 2020, registered Oct 23, 2018 (-484 days) · channel change inside one enterprise, not a move · moved with a team
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address