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.
P•••••• T••••• W•••••••
- S•• B•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Jan 18, 2018 · Mena, Ar
- W••••••• W••••• A•••••••• I••• independent RIAMay 13, 2004 to Dec 3, 2017 · Mena, Ar
- I•• S••••••••• I••• unclassifiedDec 17, 2003 to Dec 31, 2004 · Mena, Ar
- I••••••••• P••••••••• I••• formerMar 31, 1998 to Jan 7, 2004 · Baytown, Tx
- W••••••• W••••• A•••••••• I••• to S•• B•••••• F•••••••• S•••••••• I•••left Dec 3, 2017, registered Jan 18, 2018 (46 days) · Other
- I•• S••••••••• I••• to W••••••• W••••• A•••••••• I•••left Dec 31, 2004, registered May 13, 2004 (-232 days) · Other
- I••••••••• P••••••••• I••• to I•• S••••••••• I•••left Jan 7, 2004, registered Dec 17, 2003 (-21 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address