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••••• L••••••• H••••
- V•••• I••••••••• P••••••• L•• independent RIA currentsince Jul 17, 2020 · Oklahoma City, Ok
- R•••••• J•••• • A••••••••• I••• national BDMay 6, 2020 to Jul 1, 2020 · Oklahoma City, Ok
- R•••••• J•••• • A••••••••• I••• national BDMay 4, 2012 to May 5, 2020 · Oklahoma City, Ok
- M••••• S•••••• wirehouseJun 1, 2009 to May 29, 2012 · Edmond, Ok
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Edmond, Ok
- M••••• S•••••• D• I••• unclassifiedJul 30, 2004 to Apr 2, 2007 · Edmond, Ok
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 3, 2004 · Edmond, Ok
- P••••••••• E••••• G••••• L•• unclassifiedJul 31, 1992 to Jul 1, 2003 · Edmond, Ok
- R•••••• J•••• • A••••••••• I••• to V•••• I••••••••• P••••••• L••left Jul 1, 2020, registered Jul 17, 2020 (16 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left May 29, 2012, registered May 4, 2012 (-25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- 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
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left Aug 3, 2004, registered Jul 30, 2004 (-4 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address