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••••• L••• G••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 22, 2018 · Conway, Ar
- I••••••••• P••••••••• I••• formerOct 1, 2014 to Sep 24, 2018 · San Antonio, Tx
- L•• F•••••••• L•• BD affiliatedFeb 28, 2008 to Oct 2, 2014 · Cabot, Ar
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 21, 2007 to Mar 4, 2008 · Cabot, Ar
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to I••••••••• P••••••••• I•••left Oct 2, 2014, registered Oct 1, 2014 (-1 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Mar 4, 2008, registered Feb 28, 2008 (-5 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address