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.
N•••• A•• L••••
- A••••• W••••• M••••••••• independent RIA currentsince Feb 9, 2023 · Ft Smith, Ar
- S••••••• BD affiliatedSep 16, 2019 to Jan 31, 2023 · Little Rock, Ar
- V••• F•••••••• A•••••••• I••• BD affiliatedSep 30, 2016 to Sep 17, 2019 · Dallas, Tx
- V••• R••••••••• A•••••••• L•• otherDec 18, 2007 to Oct 6, 2016 · Little Rock, Ar
- M•• F•••••••• S•••••••• I••• formerDec 8, 2005 to Jan 17, 2006 · Springfield, Ma
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedJun 10, 2004 to Dec 31, 2005 · Alpharetta, Ga
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 6, 2002 to Jun 23, 2004 · Little Rock, Ar
- S••••••• to A••••• W••••• M•••••••••left Jan 31, 2023, registered Feb 9, 2023 (9 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to S•••••••left Sep 17, 2019, registered Sep 16, 2019 (-1 days) · Affiliated broker-dealer or bank to another
- V••• R••••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Oct 6, 2016, registered Sep 30, 2016 (-6 days) · Other
- M•• F•••••••• S•••••••• I••• to V••• R••••••••• A•••••••• L••left Jan 17, 2006, registered Dec 18, 2007 (700 days) · Other
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Dec 31, 2005, registered Dec 8, 2005 (-23 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M•••••• I••••••••• F••• S••••••• L••left Jun 23, 2004, registered Jun 10, 2004 (-13 days) · Other
- N•••• A•• L•••• left Stephens for A••••• W••••• M••••••••• (registered 2023-02-09)Jan 31, 2023 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address