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.
W•••• E• F•••••
- A••••••• F••••• L••••• G•••• state registered currentsince Nov 7, 2023 · Tampa, Fl
- E•••••••• A•••••••• L•• national BDSep 18, 2008 to Jan 5, 2012 · Oklahoma City, Ok
- C•••• I••••••••• S••••••• C•••• formerFeb 15, 2007 to Jun 3, 2008 · Oklahoma City, Ok
- E•••••••• A•••••••• L•• national BDMay 30, 2001 to Jul 14, 2003 · Oklahoma City, Ok
- E•••••••• A•••••••• L•• to A••••••• F••••• L••••• G••••left Jan 5, 2012, registered Nov 7, 2023 (4324 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••left Jun 3, 2008, registered Sep 18, 2008 (107 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 14, 2003, registered Feb 15, 2007 (1312 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
- STATE REGISTEREDderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address