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.
- W•••• F•••• A••••••• wirehouse currentsince Aug 13, 2021 · Rogers, Ar
- M••••• S•••••• wirehouseFeb 21, 2014 to Aug 24, 2021 · Fayetteville, Ar
- W•••• F•••• A••••••• wirehouseFeb 10, 2012 to Feb 24, 2014 · Springdale, Ar
- E••••• J•••• national BDMay 31, 2011 to Feb 13, 2012 · St Louis, Mo
- M•••• C••••••• A••••••• S•••••• BD affiliatedAug 24, 2009 to May 24, 2011 · Palm Beach Gardens, Fl
- M••••• S•••••• to W•••• F•••• A•••••••left Aug 24, 2021, registered Aug 13, 2021 (-11 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to M••••• S••••••left Feb 24, 2014, registered Feb 21, 2014 (-3 days) · Wirehouse to wirehouse
- E••••• J•••• to W•••• F•••• A•••••••left Feb 13, 2012, registered Feb 10, 2012 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- M•••• C••••••• A••••••• S•••••• to E••••• J••••left May 24, 2011, registered May 31, 2011 (7 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address