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•••• V••••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince May 6, 2024 · Springfield, Mo
- M••••• S•••••• wirehouseJan 17, 2023 to Apr 30, 2024 · Springfield, Mo
- A••••• W••••• M••••••••• independent RIAJan 30, 2021 to Dec 5, 2022 · Branson, Mo
- M••••• S•••••• to L•• F•••••••• L••left Apr 30, 2024, registered May 6, 2024 (6 days) · Wirehouse to affiliated broker-dealer or bank
- A••••• W••••• M••••••••• to M••••• S••••••left Dec 5, 2022, registered Jan 17, 2023 (43 days) · RIA to wirehouse
- J•••• V••••••• C••••• left M••••• S•••••• for L•• F•••••••• L•• (registered 2024-05-06)Apr 30, 2024 · Advisor changed firm · fact
- J•••• V••••••• C••••• left A••••• W••••• M••••••••• for M••••• S•••••• (registered 2023-01-17)Dec 5, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address