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.
M•••••• W•••• M••••••
- M•••••• C•••••• A•••••••• I••• independent RIA currentsince Nov 28, 2012 · Bethany, Ok
- A••••• F•••••••• G••••• I••• unclassifiedNov 10, 2017 to Mar 14, 2018 · Mount Vernon, Tx
- H•••••• S••••••••• I••• BD affiliatedMar 27, 2009 to Nov 16, 2012 · Oklahoma City, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 28, 2003 to Apr 14, 2009 · Norman, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 13, 1999 to May 29, 2003 · Lindsay, Ok
- A••••• F•••••••• G••••• I••• to no registered destinationleft Mar 14, 2018 · Departure, no registered destination
- H•••••• S••••••••• I••• to M•••••• C•••••• A•••••••• I•••left Nov 16, 2012, registered Nov 28, 2012 (12 days) · Other
- C•••••••• G••••• M•••••• I••• to H•••••• S••••••••• I•••left Apr 14, 2009, registered Mar 27, 2009 (-18 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2003, registered May 28, 2003 (-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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address