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.
T••••• K•••
- W•••• I••••••••• A•••••••• L•• other currentsince Jul 27, 2015 · Fayetteville, Ar
- P•• A••••••• S•••••••• L•• independent RIAJun 17, 2011 to Dec 31, 2015 · Rogers, Ar
- L•• F•••••••• L•• BD affiliatedJan 2, 2004 to Aug 31, 2010 · Springdale, Ar
- E•••••••• A•••••••• L•• national BDJan 16, 2003 to Jan 8, 2004 · Tulsa, Ok
- P•• A••••••• S•••••••• L•• to W•••• I••••••••• A•••••••• L••left Dec 31, 2015, registered Jul 27, 2015 (-157 days) · Other · moved with a team
- L•• F•••••••• L•• to P•• A••••••• S•••••••• L••left Aug 31, 2010, registered Jun 17, 2011 (290 days) · Other
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left Jan 8, 2004, registered Jan 2, 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
- Other adviserderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address