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.
L•••• D••• W•••••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Dec 14, 2016 · Rogers, Ar
- B•• P•••••••• I••• BD affiliatedSep 11, 2014 to Dec 9, 2016 · Rogers, Ar
- A•••••• A••••••• S••••••• formerJul 16, 2008 to Sep 19, 2014 · Rogers, Ar
- 1•• G••••• A••••••• I•• formerAug 24, 2005 to Jul 7, 2008 · Rogers, Ar
- B•• P•••••••• I••• to V••••••••• A••••••• S•••••••left Dec 9, 2016, registered Dec 14, 2016 (5 days) · Other
- A•••••• A••••••• S••••••• to B•• P•••••••• I•••left Sep 19, 2014, registered Sep 11, 2014 (-8 days) · Other
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Jul 7, 2008, registered Jul 16, 2008 (9 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address