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.
S••••• D•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 7, 2022 · Doylestown, Pa
- A••••••• F•••••••• A•••••••• L•• BD affiliatedAug 20, 2019 to Oct 21, 2021 · Little Rock, Ar
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJul 25, 2018 to Jul 26, 2019 · Little Rock, Ar
- T••••••• I••••••••• M••••••••• I••• BD affiliatedFeb 20, 2013 to Aug 11, 2016 · Little Rock, Ar
- A••••••• F•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 21, 2021, registered Nov 7, 2022 (382 days) · Affiliated broker-dealer or bank to another
- M••••• O• O•••• I••••••• S•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Jul 26, 2019, registered Aug 20, 2019 (25 days) · Other
- T••••••• I••••••••• M••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Aug 11, 2016, registered Jul 25, 2018 (713 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address