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.
L••• S•••• S••••••
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliated currentsince Jan 3, 2023 · Elmhurst, Il
- L•• F•••••••• L•• BD affiliatedMar 8, 2011 to Dec 31, 2012 · Oklahoma City, Ok
- H•••••• S••••••••• I••• BD affiliatedOct 1, 2004 to Mar 15, 2011 · Oklahoma City, Ok
- M••••• S•••••• D• I••• unclassifiedApr 1, 1994 to Oct 6, 2004 · Oklahoma Cty, Ok
- L•• F•••••••• L•• to L•••••• S•• I••••••••• A•••••••• L•••••left Dec 31, 2012, registered Jan 3, 2023 (3655 days) · Other
- H•••••• S••••••••• I••• to L•• F•••••••• L••left Mar 15, 2011, registered Mar 8, 2011 (-7 days) · Other
- M••••• S•••••• D• I••• to H•••••• S••••••••• I•••left Oct 6, 2004, registered Oct 1, 2004 (-5 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address