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.
T••• D••••• L•••
- V•••• I••••••••• P••••••• L•• independent RIA currentsince Nov 22, 2022 · Oklahoma City, Ok
- R•••••• J•••• • A••••••••• I••• national BDApr 11, 2014 to Oct 29, 2021 · Oklahoma City, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 14, 2014 · Tulsa, Ok
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2008 to Oct 23, 2009 · Tulsa, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 2, 1998 to Nov 12, 2008 · Tulsa, Ok
- R•••••• J•••• • A••••••••• I••• to V•••• I••••••••• P••••••• L••left Oct 29, 2021, registered Nov 22, 2022 (389 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••left Apr 14, 2014, registered Apr 11, 2014 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 12, 2008, registered Oct 24, 2008 (-19 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