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••••• L•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 3, 2023 · North Little Rock, Ar
- S••••• M••••••••• independent RIAJan 5, 2022 to Jul 28, 2023 · North Little Rock, Ar
- N•• A•••••• S•••••••• L•• formerJul 8, 2014 to Jul 16, 2015 · Little Rock, Ar
- E••••• J•••• national BDOct 1, 2013 to May 19, 2014 · N Little Rock, Ar
- S••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 28, 2023, registered Aug 3, 2023 (6 days) · RIA to affiliated broker-dealer or bank
- N•• A•••••• S•••••••• L•• to S••••• M•••••••••left Jul 16, 2015, registered Jan 5, 2022 (2365 days) · Other
- E••••• J•••• to N•• A•••••• S•••••••• L••left May 19, 2014, registered Jul 8, 2014 (50 days) · Other
- J••••• L••• left S••••• M••••••••• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-08-03)Jul 28, 2023 · a•••••• firm change · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address