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.
W• C••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 20, 2019 · Memphis, Tn
- V•••• F•••••••• A•••••••• I••• BD affiliatedDec 11, 2003 to Feb 20, 2004 · Little Rock, Ar
- S•••••• F•••• I••••••••• G••••• I••• formerSep 29, 2003 to Mar 25, 2019 · Little Rock, Ar
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 23, 1999 to Sep 26, 2003 · Little Rock, Ar
- S•••••• F•••• I••••••••• G••••• I••• to V•••• F•••••••• A•••••••• I•••left Mar 25, 2019, registered Dec 11, 2003 (-5583 days) · Other
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Feb 20, 2004, registered Mar 20, 2019 (5507 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S•••••• F•••• I••••••••• G••••• I•••left Sep 26, 2003, registered Sep 29, 2003 (3 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