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•• K•••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 4, 2018 · Bartlesville, Ok
- C••••• A••••••• L•• formerDec 12, 2011 to Jun 28, 2018 · Bartlesville, Ok
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 9, 2009 to Dec 14, 2011 · Bartlesville, Ok
- A•••••• A••••••• S••••••• formerOct 17, 2003 to Sep 14, 2009 · Bartlesville, Ok
- F•••• O••••••• F•••••••• P•••••••• I••• unclassifiedJan 2, 1996 to Dec 13, 2005 · Bartlesville, Ok
- C••••• A••••••• L•• to L•• F•••••••• L••left Jun 28, 2018, registered Jun 4, 2018 (-24 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• A••••••• L••left Dec 14, 2011, registered Dec 12, 2011 (-2 days) · Other
- A•••••• A••••••• S••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 14, 2009, registered Sep 9, 2009 (-5 days) · Other
- F•••• O••••••• F•••••••• P•••••••• I••• to A•••••• A••••••• S•••••••left Dec 13, 2005, registered Oct 17, 2003 (-788 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address