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.
- S••••• M••••••••• independent RIA currentsince Jan 1, 2025 · Shawnee, Ok
- P•••••• A•••••• G••••• L•• BD affiliatedMay 24, 2021 to Apr 10, 2023 · Morristown, Nj
- S••••• M••••••••• independent RIANov 2, 2018 to May 21, 2021 · Shawnee, Ok
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedDec 20, 2011 to Nov 6, 2018 · Shawnee, Ok
- C•••••••• F••••••••• I••• BD affiliatedFeb 6, 2003 to Dec 20, 2011 · Little Rock, Ar
- C•••••••• I••••••••• R•••••••• I••• unclassifiedJun 28, 2001 to Oct 22, 2002 · Shawnee, Ok
- P•••••• A•••••• G••••• L•• to S••••• M•••••••••left Apr 10, 2023, registered Jan 1, 2025 (632 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• M••••••••• to P•••••• A•••••• G••••• L••left May 21, 2021, registered May 24, 2021 (3 days) · RIA to affiliated broker-dealer or bank
- C•••••••• I••••••••• R••••••• A•••••••• I••• to S••••• M•••••••••left Nov 6, 2018, registered Nov 2, 2018 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 20, 2011, registered Dec 20, 2011 (0 days) · Other
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• F••••••••• I•••left Oct 22, 2002, registered Feb 6, 2003 (107 days) · Other
- L•••• D•• G••• left P•••••• A•••••• G••••• L•• for S••••• M••••••••• (registered 2025-01-01)Apr 10, 2023 · a•••••• firm change · fact
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