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••••• A•••••• H••••••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Jan 12, 2021 · Tulsa, Ok
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Jan 15, 2021 · Irving, Tx
- U•••• F•••••••• A•••••••• I••• unclassifiedJan 1, 1999 to Nov 2, 2010 · Tulsa, Ok
- 1•• G••••• A••••••• I•• formerOct 11, 1995 to Oct 25, 2019 · Tulsa, Ok
- A•••••• A••••••• S••••••• to M•••• F•••••••• A•••••••left Jan 15, 2021, registered Jan 12, 2021 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- 1•• G••••• A••••••• I•• to U•••• F•••••••• A•••••••• I•••left Oct 25, 2019, registered Jan 1, 1999 (-7602 days) · Other
- U•••• F•••••••• A•••••••• I••• to A•••••• A••••••• S•••••••left Nov 2, 2010, registered Oct 25, 2019 (3279 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address