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.
D••••• C•••••• L•••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 21, 2021 · St. Louis, Mo
- L•• F•••••••• L•• BD affiliatedSep 2, 2020 to Dec 22, 2021 · St. Louis, Mo
- M••••• S•••••• wirehouseSep 13, 2019 to Sep 4, 2020 · Clayton, Mo
- L•• F•••••••• L•• to A••••••• F••••••••• L•••left Dec 22, 2021, registered Dec 21, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Sep 4, 2020, registered Sep 2, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address