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••• L••• R••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Jun 9, 2020 · St. Louis, Mo
- P•••• F•••••••• A••••••• I•• unclassifiedJun 15, 2011 to Dec 31, 2011 · Clayton, Mo
- O•••• W•••••• I••• BD affiliatedApr 20, 2011 to Jun 15, 2020 · St. Louis, Mo
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 21, 2011 · Clayton, Mo
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 26, 1999 to Jun 1, 2009 · Clayton, Mo
- O•••• W•••••• I••• to P•••• F•••••••• A••••••• I••left Jun 15, 2020, registered Jun 15, 2011 (-3288 days) · Other
- P•••• F•••••••• A••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 31, 2011, registered Jun 9, 2020 (3083 days) · Other
- M••••• S•••••• to O•••• W•••••• I•••left Apr 21, 2011, registered Apr 20, 2011 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address