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.
J•• D• D•••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 2, 2018 · Oklahoma City, Ok
- S••••••• I••••••••• I••• formerJun 17, 2014 to Nov 2, 2018 · Oklahoma City, Ok
- A••••••• A••••••• S••••••• formerSep 30, 2002 to Jan 3, 2014 · Oklahoma City, Ok
- O••••••••• S••••••••• I••• BD affiliatedOct 30, 2001 to Aug 27, 2002 · Oklahoma City, Ok
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- A••••••• A••••••• S••••••• to S••••••• I••••••••• I•••left Jan 3, 2014, registered Jun 17, 2014 (165 days) · Other
- O••••••••• S••••••••• I••• to A••••••• A••••••• S•••••••left Aug 27, 2002, registered Sep 30, 2002 (34 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address