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.
R•••••• C• W•••••••••
- S••••••• BD affiliated currentsince Feb 11, 2025 · Hot Springs, Ar
- S••••• M••••••••• independent RIAFeb 17, 2022 to Feb 11, 2025 · North Little Rock, Ar
- L•• F•••••••• L•• BD affiliatedJun 18, 2019 to Mar 3, 2022 · Palatine, Il
- B••• W••••• A•••••••• I••• independent RIAApr 26, 2016 to Jun 21, 2019 · Hot Springs, Ar
- L•• F•••••••• L•• BD affiliatedSep 8, 2009 to Apr 22, 2016 · Hot Springs, Ar
- M••••• S•••••• C••••••••• unclassifiedAug 5, 2008 to Sep 8, 2009 · Hot Springs, Ar
- I••••••••• P••••••••• I••• formerJun 8, 2006 to Jul 22, 2008 · Hot Springs, Ar
- M••••• S•••••• D• I••• unclassifiedDec 14, 2005 to Jun 7, 2006 · Hot Springs, Ar
- S••••• M••••••••• to S•••••••left Feb 11, 2025, registered Feb 11, 2025 (0 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to S••••• M•••••••••left Mar 3, 2022, registered Feb 17, 2022 (-14 days) · Affiliated broker-dealer or bank to independent RIA
- B••• W••••• A•••••••• I••• to L•• F•••••••• L••left Jun 21, 2019, registered Jun 18, 2019 (-3 days) · RIA to RIA
- L•• F•••••••• L•• to B••• W••••• A•••••••• I•••left Apr 22, 2016, registered Apr 26, 2016 (4 days) · Other
- M••••• S•••••• C••••••••• to L•• F•••••••• L••left Sep 8, 2009, registered Sep 8, 2009 (0 days) · corporate re-registration, not a move
- I••••••••• P••••••••• I••• to M••••• S•••••• C•••••••••left Jul 22, 2008, registered Aug 5, 2008 (14 days) · Other
- M••••• S•••••• D• I••• to I••••••••• P••••••••• I•••left Jun 7, 2006, registered Jun 8, 2006 (1 days) · Other
- R•••••• C• W••••••••• left S••••• M••••••••• for Stephens (registered 2025-02-11)Feb 11, 2025 · Advisor changed firm · fact
- R•••••• C• W••••••••• left L•• F•••••••• L•• for S••••• M••••••••• (registered 2022-02-17)Mar 3, 2022 · Advisor changed firm · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address