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.
M••• N••••• H•••••••
- M•••• A•••••••• I••• state registered currentsince May 11, 2017 · Oklahoma City, Ok
- W•• A•••••••• L• formerAug 4, 2009 to May 4, 2017 · Oklahoma City, Ok
- C•••••• A•••••••• L•• unclassifiedJun 5, 2009 to Aug 4, 2009 · Oklahoma City, Ok
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 3, 2009 · Oklahoma City, Ok
- M••••• S•••••• D• I••• unclassifiedSep 29, 2006 to Apr 2, 2007 · Oklahoma City, Ok
- U•• F•••••••• S••••••• I••• wirehouseOct 5, 2001 to Oct 10, 2006 · Edmond, Ok
- W•• A•••••••• L• to M•••• A•••••••• I•••left May 4, 2017, registered May 11, 2017 (7 days) · Other
- C•••••• A•••••••• L•• to W•• A•••••••• L•left Aug 4, 2009, registered Aug 4, 2009 (0 days) · Other
- M••••• S•••••• • C•• L•• to C•••••• A•••••••• L••left Jun 3, 2009, registered Jun 5, 2009 (2 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left Oct 10, 2006, registered Sep 29, 2006 (-11 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address