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.
- E••••• J•••• national BD currentsince Apr 21, 2023 · Little Rock, Ar
- L•••• T•••• W••••• state registeredJun 9, 2022 to Apr 14, 2023 · North Little Rock, Ar
- E••••• J•••• national BDMay 26, 2020 to May 27, 2022 · St Louis, Mo
- L•••• T•••• W••••• to E••••• J••••left Apr 14, 2023, registered Apr 21, 2023 (7 days) · Other
- E••••• J•••• to L•••• T•••• W•••••left May 27, 2022, registered Jun 9, 2022 (13 days) · Affiliated broker-dealer or bank to a state-registered adviser
- S••••• S••••••• left L•••• T•••• W••••• for E••••• J•••• (registered 2023-04-21)Apr 14, 2023 · Advisor changed firm · fact
- S••••• S••••••• left E••••• J•••• for L•••• T•••• W••••• (registered 2022-06-09)May 27, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address