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.
D••••• T••• S••••••
- A•• W••••• A••••••• L•• state registered currentsince Jan 31, 2020 · Canton, Oh
- S•••••••• P••••••• A••••••••• state registeredApr 4, 2019 to Oct 30, 2019 · Paragould, Ar
- B•••••••• L•• independent RIADec 19, 2017 to May 25, 2018 · Paragould, Ar
- S•••••••• P••••••• A••••••••• to A•• W••••• A••••••• L••left Oct 30, 2019, registered Jan 31, 2020 (93 days) · Other
- B•••••••• L•• to S•••••••• P••••••• A•••••••••left May 25, 2018, registered Apr 4, 2019 (314 days) · RIA to a state-registered adviser
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address