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.
D••••• W•••••• K•••
- L•••••• I••••••••• A••••••• I••• state registered currentsince Feb 8, 2011 · Oklahoma City, Ok
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2011 · Edmond, Ok
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Edmond, Ok
- M••••• S•••••• D• I••• unclassifiedNov 1, 2005 to Apr 2, 2007 · Edmond, Ok
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Oct 31, 2005 · Okc, Ok
- B••• O•• S••••••••• C••••••••• unclassifiedNov 4, 2002 to Jul 6, 2005 · Oklahoma City, Ok
- M••••• S•••••• to L•••••• I••••••••• A••••••• I•••left Jan 21, 2011, registered Feb 8, 2011 (18 days) · Wirehouse to a state-registered adviser
- 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
- C•••• I••••••••• S••••••• C•••• to M••••• S•••••• D• I•••left Oct 31, 2005, registered Nov 1, 2005 (1 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- STATE REGISTEREDderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address