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.
C•••• W•••••• V••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 12, 2011 · Little Rock, Ar
- T•••• C•••••• M••••••••• I••• formerNov 9, 2009 to Jun 24, 2011 · Little Rock, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 4, 2004 to Mar 6, 2008 · Little Rock, Ar
- A••••••••• F•••••••• S•••••••• L•• national BDJun 30, 2004 to Oct 11, 2004 · Little Rock, Ar
- T•••• C•••••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 24, 2011, registered Jul 12, 2011 (18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•••• C•••••• M••••••••• I•••left Mar 6, 2008, registered Nov 9, 2009 (613 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 11, 2004, registered Oct 4, 2004 (-7 days) · Affiliated broker-dealer or bank to wirehouse
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address