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.
M•••••• L• M•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 13, 2013 · Little Rock, Ar
- S••••• A••• A•••• M••••••••• I••• formerApr 8, 2009 to Apr 15, 2013 · Birmingham, Al
- S••••••• G•••• C•••••• unclassifiedNov 1, 2006 to Mar 11, 2009 · Little Rock, Ar
- S••••••••• W••••• M••••••••• L•• unclassifiedNov 4, 2004 to Nov 10, 2006 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 1996 to Oct 26, 2004 · Little Rock, Ar
- S••••• A••• A•••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 15, 2013, registered May 13, 2013 (28 days) · Other
- S••••••• G•••• C•••••• to S••••• A••• A•••• M••••••••• I•••left Mar 11, 2009, registered Apr 8, 2009 (28 days) · Other
- S••••••••• W••••• M••••••••• L•• to S••••••• G•••• C••••••left Nov 10, 2006, registered Nov 1, 2006 (-9 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• W••••• M••••••••• L••left Oct 26, 2004, registered Nov 4, 2004 (9 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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address