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.
J•••••• W•••••• R•••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 4, 2018 · Bentonville, Ar
- C•••••••• F•••••••• G•••• A••••••• formerMar 31, 2005 to Oct 1, 2018 · Bentonville, Ar
- M••••• K••••• • C••••••• L•• formerApr 19, 2004 to Feb 3, 2005 · Fayetteville, Ar
- A••••• W••••• M••••••••• independent RIAJan 2, 2004 to Apr 20, 2004 · Rogers, Ar
- C•••••••• F•••••••• G•••• A••••••• to L•• F•••••••• L••left Oct 1, 2018, registered Sep 4, 2018 (-27 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• K••••• • C••••••• L•• to C•••••••• F•••••••• G•••• A•••••••left Feb 3, 2005, registered Mar 31, 2005 (56 days) · Other
- A••••• W••••• M••••••••• to M••••• K••••• • C••••••• L••left Apr 20, 2004, registered Apr 19, 2004 (-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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address