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••• A•••• K••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Apr 25, 2019 · Fayetteville, Ar
- A••••• W••••• M••••••••• independent RIAApr 3, 2006 to Apr 24, 2019 · Fayetteville, Ar
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 2, 2003 to Apr 4, 2006 · Rogers, Ar
- E•••••••• A•••••••• L•• national BDMar 10, 2000 to Aug 26, 2002 · Springdale, Ar
- A••••• W••••• M••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 24, 2019, registered Apr 25, 2019 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• J•••• F•••••••• S•••••••• I••• to A••••• W••••• M•••••••••left Apr 4, 2006, registered Apr 3, 2006 (-1 days) · Other
- E•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Aug 26, 2002, registered Jan 2, 2003 (129 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address