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.
C••••••••• S•••• W•••••••
- B•• P•••••••• I••• BD affiliated currentsince Jan 17, 2018 · Cedar Rapids, Ia
- B•• P•••••••• I••• BD affiliatedDec 10, 2013 to Dec 31, 2017 · Tulsa, Ok
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedDec 15, 2011 to Dec 10, 2013 · Tulsa, Ok
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 31, 2009 to Oct 10, 2011 · Tulsa, Ok
- W•••• F•••• A••••••• wirehouseMay 13, 2002 to Mar 18, 2009 · Tulsa, Ok
- U•• F•••••••• S••••••• I••• wirehouseDec 13, 1993 to May 24, 2002 · Tulsa, Ok
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to B•• P•••••••• I•••left Dec 10, 2013, registered Dec 10, 2013 (0 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Oct 10, 2011, registered Dec 15, 2011 (66 days) · Other
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 18, 2009, registered Mar 31, 2009 (13 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left May 24, 2002, registered May 13, 2002 (-11 days) · Wirehouse to wirehouse
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