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.
T••••• M•••••• M•••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jul 18, 2014 · Houston, Tx
- W•••• F•••• A••••••• wirehouseMay 17, 2011 to Jun 23, 2014 · Punta Gorda, Fl
- J•• C•••••• A•••••••• L•• formerAug 31, 2010 to May 16, 2011 · Little Rock, Ar
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 20, 2010 · Little Rock, Ar
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 14, 2004 to Jun 1, 2009 · Little Rock, Ar
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Oct 1, 2004 · Lexington, Ky
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jun 23, 2014, registered Jul 18, 2014 (25 days) · Other
- J•• C•••••• A•••••••• L•• to W•••• F•••• A•••••••left May 16, 2011, registered May 17, 2011 (1 days) · Other
- M••••• S•••••• to J•• C•••••• A•••••••• L••left Sep 20, 2010, registered Aug 31, 2010 (-20 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Oct 1, 2004, registered Sep 14, 2004 (-17 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
- No RAUM reportedderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address