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.
A••••• M••••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 18, 2021 · Fredericktown, Mo
- L••••• F••••••••• I••• BD affiliatedMar 16, 2021 to Oct 12, 2021 · Farmington, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedJan 4, 2019 to Sep 20, 2019 · Farmington, Mo
- L••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 12, 2021, registered Oct 18, 2021 (6 days) · Affiliated broker-dealer or bank to another
- M•••• C••••••• A••••••• S•••••• to L••••• F••••••••• I•••left Sep 20, 2019, registered Mar 16, 2021 (543 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
- 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