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.
A•••• K••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 2, 2015 · Fayetteville, Ar
- N••• F•••••••• G••••• I••• formerDec 13, 2006 to Feb 2, 2015 · Houston, Tx
- O•••• F•• I••• formerJul 6, 2006 to Dec 19, 2006 · Little Rock, Ar
- W••••••• S••••••••• C••••••••• unclassifiedAug 8, 2005 to Jul 25, 2006 · Siloam Springs, Ar
- T•••• S••••• S••••••••• I••• formerOct 7, 2003 to Aug 1, 2005 · Siloam Springs , Ar
- I••••••••• P••••••••• I••• formerSep 19, 2003 to Oct 6, 2003 · Siloam Springs, Ar
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Feb 2, 2015, registered Feb 2, 2015 (0 days) · Other
- O•••• F•• I••• to N••• F•••••••• G••••• I•••left Dec 19, 2006, registered Dec 13, 2006 (-6 days) · Other
- W••••••• S••••••••• C••••••••• to O•••• F•• I•••left Jul 25, 2006, registered Jul 6, 2006 (-19 days) · Other
- T•••• S••••• S••••••••• I••• to W••••••• S••••••••• C•••••••••left Aug 1, 2005, registered Aug 8, 2005 (7 days) · Other
- I••••••••• P••••••••• I••• to T•••• S••••• S••••••••• I•••left Oct 6, 2003, registered Oct 7, 2003 (1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address