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••••• F•••• H•••
- L•• F•••••••• L•• BD affiliated currentsince Apr 9, 2020 · Little Rock, Ar
- C••••• • A••••••••• I••• independent RIAAug 23, 2013 to Apr 9, 2020 · Little Rock, Ar
- C••••• • A••••••••• I••• independent RIAAug 26, 2009 to Aug 21, 2013 · Little Rock, Ar
- W•• A•••••••• L• formerOct 20, 2008 to Aug 28, 2009 · Little Rock, Ar
- N•• A•••••• S•••••••• L•• formerSep 21, 2006 to Oct 3, 2008 · Little Rock, Ar
- B•• F•••••••• A••••••• BD affiliatedSep 15, 2003 to Jul 6, 2005 · Little Rock, Ar
- I••••••••• P••••••••• I••• formerAug 19, 2002 to Mar 25, 2003 · Little Rock, Ar
- M••••• K••••• • C••••••• L•• formerMar 23, 2000 to Aug 21, 2002 · Little Rock, Ar
- C••••• • A••••••••• I••• to L•• F•••••••• L••left Apr 9, 2020, registered Apr 9, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- W•• A•••••••• L• to C••••• • A••••••••• I•••left Aug 28, 2009, registered Aug 26, 2009 (-2 days) · Other
- N•• A•••••• S•••••••• L•• to W•• A•••••••• L•left Oct 3, 2008, registered Oct 20, 2008 (17 days) · Other
- B•• F•••••••• A••••••• to N•• A•••••• S•••••••• L••left Jul 6, 2005, registered Sep 21, 2006 (442 days) · Other
- I••••••••• P••••••••• I••• to B•• F•••••••• A•••••••left Mar 25, 2003, registered Sep 15, 2003 (174 days) · Other
- M••••• K••••• • C••••••• L•• to I••••••••• P••••••••• I•••left Aug 21, 2002, registered Aug 19, 2002 (-2 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