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••• M•••••• H•••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Dec 21, 2021 · Folsom, Ca
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Dec 22, 2021 · Cape Girardeau, Mo
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 31, 2007 to Dec 6, 2017 · St. Louis, Mo
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedFeb 24, 2003 to Feb 2, 2007 · St. Luis, Mo
- A••••••••• S••••••••• C•••• unclassifiedFeb 10, 2003 to May 31, 2007 · St Louis, Mo
- P••••••••• E••••• G••••• L•• unclassifiedJan 1, 2002 to Aug 22, 2002 · St. Louis, 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
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
- A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••left May 31, 2007, registered Feb 24, 2003 (-1557 days) · Other
- A••••••••• P••••••• I••••••••• A••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Feb 2, 2007, registered May 31, 2007 (118 days) · Other
- P••••••••• E••••• G••••• L•• to A••••••••• S••••••••• C••••left Aug 22, 2002, registered Feb 10, 2003 (172 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address