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.
N••••••• A•••••••• S•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 17, 2023 · Jefferson City, Mo
- D••••• F••••••••• L•• independent RIAAug 4, 2022 to Nov 15, 2022 · Jefferson City, Mo
- L•• F•••••••• L•• BD affiliatedAug 6, 2021 to Jul 8, 2022 · Jefferson City, Mo
- D••••• F••••••••• L•• to L•• F•••••••• L••left Nov 15, 2022, registered Feb 17, 2023 (94 days) · RIA to RIA
- L•• F•••••••• L•• to D••••• F••••••••• L••left Jul 8, 2022, registered Aug 4, 2022 (27 days) · RIA to RIA
- N••••••• A•••••••• S••••••••• left D••••• F••••••••• L•• for L•• F•••••••• L•• (registered 2023-02-17)Nov 15, 2022 · Advisor changed firm · fact
- N••••••• A•••••••• S••••••••• left L•• F•••••••• L•• for D••••• F••••••••• L•• (registered 2022-08-04)Jul 8, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address