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.
S•••• E• P•••••
- K••••• A•••••••• I••• BD affiliated currentsince Nov 12, 2012 · Oklahoma City, Ok
- W••••••• I••••••••• M••••••••• L•• independent RIAApr 12, 2011 to Dec 6, 2012 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Dec 22, 2010 · Edmond, Ok
- P••••••••• E••••• G••••• L•• unclassifiedJul 12, 2001 to Jul 1, 2003 · Edmond, Ok
- W••••••• I••••••••• M••••••••• L•• to K••••• A•••••••• I•••left Dec 6, 2012, registered Nov 12, 2012 (-24 days) · Other
- W•••• F•••• A••••••• to W••••••• I••••••••• M••••••••• L••left Dec 22, 2010, registered Apr 12, 2011 (111 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address