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.
R•••• L•••••• B•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 21, 2020 · Oklahoma City, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 15, 2013 to Feb 24, 2020 · Oklahoma City, Ok
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Feb 19, 2013 · Oklahoma City, Ok
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedFeb 6, 2003 to Jan 2, 2009 · Oklahoma City, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Feb 24, 2020, registered Feb 21, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 19, 2013, registered Feb 15, 2013 (-4 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (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
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address