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.
A••••• M••••• C••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 5, 2022 · Little Rock, Ar
- W•••• F•••• A••••••• wirehouseMay 23, 2013 to Aug 4, 2022 · Little Rock, Ar
- A••••• W••••• M••••••••• independent RIAMay 20, 2008 to May 17, 2013 · Hot Springs, Ar
- M••••• K••••• • C••••••• L•• formerMar 31, 2006 to Dec 10, 2007 · Little Rock, Ar
- U••• B•••••• I••••••••• I••• formerAug 4, 2005 to Apr 5, 2006 · North Little Rock, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 7, 2001 to Sep 26, 2003 · Little Rock, Ar
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Aug 4, 2022, registered Aug 5, 2022 (1 days) · channel change inside one enterprise, not a move · moved with a team
- A••••• W••••• M••••••••• to W•••• F•••• A•••••••left May 17, 2013, registered May 23, 2013 (6 days) · Other
- M••••• K••••• • C••••••• L•• to A••••• W••••• M•••••••••left Dec 10, 2007, registered May 20, 2008 (162 days) · Other
- U••• B•••••• I••••••••• I••• to M••••• K••••• • C••••••• L••left Apr 5, 2006, registered Mar 31, 2006 (-5 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Sep 26, 2003, registered Aug 4, 2005 (678 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
- Wirehousederived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address