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••••• J•••• K•••••
- M••••• A•••••••• L•• BD affiliated currentsince Aug 14, 2023 · Little Rock, Ar
- S••••• M••••••••• independent RIAJun 14, 2017 to Aug 2, 2023 · North Little Rock, Ar
- K••••••• • K•••• T•• A•• A•••• M••••••••• G•••• formerJan 13, 2017 to Jun 1, 2017 · Searcy, Ar
- A••••••••• F•••••••• S•••••••• L•• national BDJul 6, 2015 to Aug 19, 2016 · Little Rock, Ar
- N•• A•••••• S•••••••• L•• formerOct 25, 2012 to Jun 5, 2015 · Little Rock, Ar
- N•• A•••••• S•••••••• L•• formerMay 2, 2005 to Oct 23, 2012 · Austin, Tx
- S••••• M••••••••• to M••••• A•••••••• L••left Aug 2, 2023, registered Aug 14, 2023 (12 days) · RIA to affiliated broker-dealer or bank
- K••••••• • K•••• T•• A•• A•••• M••••••••• G•••• to S••••• M•••••••••left Jun 1, 2017, registered Jun 14, 2017 (13 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to K••••••• • K•••• T•• A•• A•••• M••••••••• G••••left Aug 19, 2016, registered Jan 13, 2017 (147 days) · Other
- N•• A•••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jun 5, 2015, registered Jul 6, 2015 (31 days) · Other
- T••••• J•••• K••••• left S••••• M••••••••• for M••••• A•••••••• L•• (registered 2023-08-14)Aug 2, 2023 · a•••••• firm change · fact
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