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••••• B•••• W•••••
- C••••••••• W•••••• L•• independent RIA currentsince Jan 4, 2021 · Overland Park, Ks
- B••• W••••• A•••••••• I••• independent RIANov 20, 2012 to Dec 31, 2020 · Covington, La
- S••••• I••••••••• G••••• L•• formerDec 12, 2006 to Dec 31, 2012 · Tulsa, Ok
- F•• W••••• A••••••• L•• unclassifiedJun 19, 2006 to Mar 14, 2007 · Tulsa, Ok
- G••••• W••••• M••••••••• I••• BD affiliatedMar 31, 2004 to Dec 31, 2004 · Tulsa, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 11, 1999 to Apr 1, 2004 · Tulsa, Ok
- B••• W••••• A•••••••• I••• to C••••••••• W•••••• L••left Dec 31, 2020, registered Jan 4, 2021 (4 days) · RIA to RIA
- S••••• I••••••••• G••••• L•• to B••• W••••• A•••••••• I•••left Dec 31, 2012, registered Nov 20, 2012 (-41 days) · Other
- F•• W••••• A••••••• L•• to S••••• I••••••••• G••••• L••left Mar 14, 2007, registered Dec 12, 2006 (-92 days) · Other
- G••••• W••••• M••••••••• I••• to F•• W••••• A••••••• L••left Dec 31, 2004, registered Jun 19, 2006 (535 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••• W••••• M••••••••• I•••left Apr 1, 2004, registered Mar 31, 2004 (-1 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address