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.
D•••• T• S•••••
- S••••• M••••••••• i••••••••• wealth currentsince Jan 30, 2020 · North Little Rock, Ar
- S••••• A•••• M•••••••• L•• unclassifiedSep 20, 2016 to Apr 14, 2023 · North Little Rock, Ar
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 25, 2014 to Sep 21, 2016 · San Diego, Ca
- W•• A•••••••• L• formerAug 20, 2012 to Feb 25, 2014 · Auburn, Ca
- E•••• S••••••••• L•• BD affiliatedMar 11, 2004 to Aug 16, 2012 · Roseville, Ca
- S••••• A•••• M•••••••• L•• to S••••• M•••••••••left Apr 14, 2023, registered Jan 30, 2020 (-1170 days) · Other · moved with a team
- I••••••••• F•••••••• G••••• L•• to S••••• A•••• M•••••••• L••left Sep 21, 2016, registered Sep 20, 2016 (-1 days) · Other
- W•• A•••••••• L• to I••••••••• F•••••••• G••••• L••left Feb 25, 2014, registered Feb 25, 2014 (0 days) · Other
- E•••• S••••••••• L•• to W•• A•••••••• L•left Aug 16, 2012, registered Aug 20, 2012 (4 days) · Other
- D•••• T• S••••• left S••••• A•••• M•••••••• L•• for S••••• M••••••••• (registered 2020-01-30)Apr 14, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address