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.
K•••••• R•••••• D••••••••
- G•••• V••••• A•••••• G••••• L•• independent RIA currentsince May 7, 2014 · Norman, Ok
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 13, 2005 to Dec 14, 2007 · Norman, Ok
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedOct 28, 2004 to Apr 30, 2007 · Milwaukee, Wi
- N•••••• P••••••• A•••••••• L••••• unclassifiedMar 9, 2004 to Jan 31, 2006 · Norman, Ok
- N••••••••• M••••• I••••••••• S••••••••• to G•••• V••••• A•••••• G••••• L••left Dec 14, 2007, registered May 7, 2014 (2336 days) · Other
- N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2007, registered Oct 13, 2005 (-564 days) · corporate re-registration, not a move
- N•••••• P••••••• A•••••••• L••••• to N••••••••• M••••• W••••• M••••••••• C••••••left Jan 31, 2006, registered Oct 28, 2004 (-460 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address