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••••• R•••• state registered currentsince Aug 23, 2022 · Benton, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 3, 2021 to Aug 2, 2022 · Hot Springs, Ar
- A••••• W••••• M••••••••• independent RIANov 9, 2016 to May 11, 2021 · Lowell, Ar
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••• R••••left Aug 2, 2022, registered Aug 23, 2022 (21 days) · Wirehouse to a state-registered adviser
- A••••• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 11, 2021, registered May 3, 2021 (-8 days) · RIA to wirehouse · moved with a team
- A•••• R••••• H••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W••••• R•••• (registered 2022-08-23)Aug 2, 2022 · Advisor changed firm · 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
- STATE REGISTEREDderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address