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•••••• S•••• H•••••••••
- F•••• C••••••• I••••••• S•••••••• I••• BD affiliated currentsince Apr 21, 2023 · Rogers, Ar
- A••••• W••••• M••••••••• independent RIAJan 2, 2014 to Aug 19, 2021 · Lowell, Ar
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 19, 2011 to Dec 20, 2013 · Bentonville, Ar
- C•••••••• F••••••••• I••• BD affiliatedAug 10, 2009 to Dec 20, 2011 · Little Rock, Ar
- N••• F•••••••• G••••• I••• formerJan 6, 2004 to Aug 7, 2009 · Columbia, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 24, 2002 to Dec 31, 2003 · Columbia, Mo
- A••••• W••••• M••••••••• to F•••• C••••••• I••••••• S•••••••• I•••left Aug 19, 2021, registered Apr 21, 2023 (610 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••• W••••• M•••••••••left Dec 20, 2013, registered Jan 2, 2014 (13 days) · Other
- C•••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 20, 2011, registered Dec 19, 2011 (-1 days) · Other
- N••• F•••••••• G••••• I••• to C•••••••• F••••••••• I•••left Aug 7, 2009, registered Aug 10, 2009 (3 days) · Other
- C••••• I••••••••• A••••••• L•• to N••• F•••••••• G••••• I•••left Dec 31, 2003, registered Jan 6, 2004 (6 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