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.
M•••••• B•••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Harrisburg, Ar
- S••••••••• A•••••• A•••••••• I••• formerApr 20, 2012 to Jun 14, 2024 · J••••Boro, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 29, 2011 to Apr 20, 2012 · J••••Boro, Ar
- E••••• J•••• national BDOct 17, 2006 to May 2, 2011 · J••••Boro, Ar
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 20, 2012, registered Apr 20, 2012 (0 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2011, registered Apr 29, 2011 (-3 days) · Affiliated broker-dealer or bank to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address