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•••••• B•••• D•••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Dec 23, 2009 · Paragould, Ar
- G•••••••• F••••••••• I•• unclassifiedFeb 3, 2003 to Dec 24, 2009 · Tampa, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMay 11, 1998 to Feb 5, 2003 · Paragould, Ar
- G•••••••• F••••••••• I•• to M••••••• I••••••••• N•••••• I•••left Dec 24, 2009, registered Dec 23, 2009 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to G•••••••• F••••••••• I••left Feb 5, 2003, registered Feb 3, 2003 (-2 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address