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.
B•••• W•••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 18, 2017 · Tulsa, Ok
- B• R•••• W••••• M••••••••• formerDec 17, 2012 to Nov 13, 2017 · Memphis, Tn
- S•••••• M••••• L•• independent RIAFeb 27, 2009 to Dec 17, 2012 · Tulsa, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 7, 1993 to Mar 23, 2009 · Tulsa, Ok
- B• R•••• W••••• M••••••••• to L•• F•••••••• L••left Nov 13, 2017, registered Oct 18, 2017 (-26 days) · Other
- S•••••• M••••• L•• to B• R•••• W••••• M•••••••••left Dec 17, 2012, registered Dec 17, 2012 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to S•••••• M••••• L••left Mar 23, 2009, registered Feb 27, 2009 (-24 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address