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•••• A••••• D••••••
- A••••• W••••• M••••••••• independent RIA currentsince Feb 22, 2017 · Ft Smith, Ar
- C••• F•••••••• S•••••••• L••• formerMar 22, 2011 to Feb 3, 2017 · San Diego, Ca
- S••••••••• F•••••••• G••••• I••• independent RIAFeb 2, 2009 to Jan 26, 2011 · Van Buren, Ar
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Dec 31, 2008 · Van Buren, Ar
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJan 6, 2003 to Oct 31, 2008 · Van Buren, Ar
- A••••••••• F•••••••• S•••••••• L•• national BDJan 24, 2002 to Sep 12, 2002 · Fort Smith, Ar
- C••• F•••••••• S•••••••• L••• to A••••• W••••• M•••••••••left Feb 3, 2017, registered Feb 22, 2017 (19 days) · Other
- S••••••••• F•••••••• G••••• I••• to C••• F•••••••• S•••••••• L•••left Jan 26, 2011, registered Mar 22, 2011 (55 days) · Other
- S•••••••• F••••••••• I••• to S••••••••• F•••••••• G••••• I•••left Dec 31, 2008, registered Feb 2, 2009 (33 days) · Other
- A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2008, registered Oct 31, 2008 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to A••••••• G•••••• S••••••••• I•••••••••left Sep 12, 2002, registered Jan 6, 2003 (116 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
- Independent wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address