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.
S•••••• M•••••• N•••••••••
- E•••• C•••••• G••••• L•• former currentsince Jun 9, 2021 · Little Rock, Ar
- L•• F•••••••• L•• BD affiliatedDec 16, 2009 to May 21, 2021 · Little Rock, Ar
- M••••• K••••• • C••••••• L•• formerApr 10, 2007 to Jan 4, 2008 · Birmingham, Al
- P••• A•••••••• I••• unclassifiedSep 20, 2006 to Apr 9, 2007 · Franklin, Tn
- U••• B•••••• I••••••••• I••• formerJun 26, 2002 to Nov 22, 2005 · North Little Rock, Ar
- L•• F•••••••• L•• to E•••• C•••••• G••••• L••left May 21, 2021, registered Jun 9, 2021 (19 days) · Other
- M••••• K••••• • C••••••• L•• to L•• F•••••••• L••left Jan 4, 2008, registered Dec 16, 2009 (712 days) · Other
- P••• A•••••••• I••• to M••••• K••••• • C••••••• L••left Apr 9, 2007, registered Apr 10, 2007 (1 days) · Other
- U••• B•••••• I••••••••• I••• to P••• A•••••••• I•••left Nov 22, 2005, registered Sep 20, 2006 (302 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
- Former SEC-registered adviserderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address