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.
S••••• H•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 14, 2013 · Fort S••••, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 18, 2008 to Dec 22, 2011 · Fort S••••, Ar
- S••••• A••• A•••• M••••••••• I••• formerSep 27, 2005 to Jun 26, 2008 · Fort S••••, Ar
- S•••••• A••• • L••••• I••• unclassifiedJul 5, 2005 to Jan 3, 2007 · Fort S••••, Ar
- M••••• S•••••• D• I••• unclassifiedNov 4, 2004 to Jul 7, 2005 · Little Rock, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Dec 22, 2011, registered May 14, 2013 (509 days) · Wirehouse to affiliated broker-dealer or bank
- S••••• A••• A•••• M••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 26, 2008, registered Aug 18, 2008 (53 days) · Other
- S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••left Jan 3, 2007, registered Sep 27, 2005 (-463 days) · Other
- M••••• S•••••• D• I••• to S•••••• A••• • L••••• I•••left Jul 7, 2005, registered Jul 5, 2005 (-2 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
- National broker-dealer RIAderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address