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.
J••••• M••• S••••••
- M••••• A•••••••• L•• BD affiliated currentsince Feb 3, 2023 · North Little Rock, Ar
- S••••• M••••••••• independent RIAMar 2, 2015 to May 29, 2019 · North Little Rock, Ar
- M•• F•••••••• S•••••••• I••• formerSep 25, 2013 to Mar 10, 2015 · Little Rock, Ar
- P•••••• W••• F•••••••• C••••••••• I•• formerSep 20, 2010 to Jun 27, 2011 · Renton, Wa
- S••••• M••••••••• to M••••• A•••••••• L••left May 29, 2019, registered Feb 3, 2023 (1346 days) · RIA to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to S••••• M•••••••••left Mar 10, 2015, registered Mar 2, 2015 (-8 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to M•• F•••••••• S•••••••• I•••left Jun 27, 2011, registered Sep 25, 2013 (821 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address