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•••• G••• D•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 6, 2007 · Springdale, Ar
- C•••••••• F••••••••• I••• BD affiliatedJan 5, 2005 to Sep 11, 2007 · Rogers, Ar
- T• J• R•••• • S•••• I••• unclassifiedMar 20, 2002 to May 24, 2004 · Rogers, Ar
- C•••••••• F••••••••• I••• to L•• F•••••••• L••left Sep 11, 2007, registered Sep 6, 2007 (-5 days) · Other
- T• J• R•••• • S•••• I••• to C•••••••• F••••••••• I•••left May 24, 2004, registered Jan 5, 2005 (226 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address