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.
N••••• R••• G••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 20, 2019 · Searcy, Ar
- S•••••• F•••• I••••••••• G••••• I••• formerFeb 24, 2015 to Mar 25, 2019 · Little Rock, Ar
- K••••••• • K•••• T•• A•• A•••• M••••••••• G•••• formerMay 29, 2014 to Dec 18, 2014 · Searcy, Ar
- S•••••• F•••• I••••••••• G••••• I••• to L•• F•••••••• L••left Mar 25, 2019, registered Mar 20, 2019 (-5 days) · RIA to RIA · moved with a team
- K••••••• • K•••• T•• A•• A•••• M••••••••• G•••• to S•••••• F•••• I••••••••• G••••• I•••left Dec 18, 2014, registered Feb 24, 2015 (68 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address