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••••• G••• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 17, 2008 · Tulsa, Ok
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 5, 2006 to Jun 6, 2008 · Tulsa, Ok
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 13, 2006 to Jul 10, 2006 · Tulsa, Ok
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedAug 26, 2004 to Feb 17, 2006 · Broken Arrow, Ok
- S••••• I••••••••• A•••••••• L•• BD affiliatedApr 16, 2004 to Aug 25, 2004 · Bixby, Ok
- O•••• W•••••• I••• BD affiliatedJul 21, 2003 to Mar 30, 2004 · Tulsa, Ok
- M••••• S•••••• D• I••• unclassifiedOct 16, 1997 to Dec 10, 2002 · Tulsa, Ok
- R•••••• J•••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 6, 2008, registered Jun 17, 2008 (11 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jul 10, 2006, registered Jul 5, 2006 (-5 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 17, 2006, registered Feb 13, 2006 (-4 days) · Other
- S••••• I••••••••• A•••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Aug 25, 2004, registered Aug 26, 2004 (1 days) · Other
- O•••• W•••••• I••• to S••••• I••••••••• A•••••••• L••left Mar 30, 2004, registered Apr 16, 2004 (17 days) · Other
- M••••• S•••••• D• I••• to O•••• W•••••• I•••left Dec 10, 2002, registered Jul 21, 2003 (223 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address