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.
B•••••• K•••• L••••
- O•••• W•••••• I••• BD affiliated currentsince Apr 22, 2016 · Fort Smith, Ar
- F•••• I••••••••• A••••••• S•••••••• I••• unclassifiedJul 14, 2011 to Dec 1, 2016 · Van Buren, Ar
- S••••••••• F•••••••• G••••• I••• i••••••••• wealthJan 12, 2009 to Jul 14, 2011 · Van Buren, Ar
- S•••••••• F••••••••• I••• formerOct 31, 2008 to Dec 31, 2008 · Van Buren, Ar
- A••••••• G•••••• S••••••••• I••••••••• unclassifiedJan 6, 2004 to Oct 31, 2008 · Van Buren, Ar
- F•••• I••••••••• A••••••• S•••••••• I••• to O•••• W•••••• I•••left Dec 1, 2016, registered Apr 22, 2016 (-223 days) · Other
- S••••••••• F•••••••• G••••• I••• to F•••• I••••••••• A••••••• S•••••••• I•••left Jul 14, 2011, registered Jul 14, 2011 (0 days) · Other
- S•••••••• F••••••••• I••• to S••••••••• F•••••••• G••••• I•••left Dec 31, 2008, registered Jan 12, 2009 (12 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
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address