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••• B•••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Van Buren, Ar
- C••• B•••••••• S•••••••• I••• formerJan 19, 2018 to May 18, 2022 · Waverly, Ia
- C• W••••• M••••••••• L•• independent RIANov 15, 2017 to Jan 17, 2018 · Fort Smith, Ar
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 13, 2017 · Van Buren, Ar
- F•••• A••••• S••••••••• I••• formerSep 3, 2010 to Jul 2, 2012 · San Diego, Ca
- E••••• J•••• national BDOct 26, 2006 to Sep 8, 2010 · Ft Smith, Ar
- M••••• S•••••• D• I••• unclassifiedNov 25, 2002 to Apr 1, 2003 · Little Rock, Ar
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- C• W••••• M••••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 17, 2018, registered Jan 19, 2018 (2 days) · Other
- F•••• A••••• A••••••• S•••••••• I••• to C• W••••• M••••••••• L••left Nov 13, 2017, registered Nov 15, 2017 (2 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to F•••• A••••• S••••••••• I•••left Sep 8, 2010, registered Sep 3, 2010 (-5 days) · Other
- M••••• S•••••• D• I••• to E••••• J••••left Apr 1, 2003, registered Oct 26, 2006 (1304 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address