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.
G•••••• A•••• C•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 1, 2022 · Woodward,, Ok
- L•• F•••••••• L•• BD affiliatedNov 29, 2017 to Apr 1, 2022 · Woodward, Ok
- I••••••••• C•••••• O• A••••••• I••• formerSep 6, 2011 to Nov 29, 2017 · Woodward, Ok
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 6, 2007 to Sep 8, 2011 · Charlotte, Nc
- C••••• I••••••••• S••••••• L•• formerApr 25, 2000 to Sep 4, 2007 · Woodward, Ok
- L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Apr 1, 2022, registered Mar 1, 2022 (-31 days) · RIA to affiliated broker-dealer or bank
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- U•••• F•••••••• S••••••• G••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Sep 8, 2011, registered Sep 6, 2011 (-2 days) · Other
- C••••• I••••••••• S••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Sep 4, 2007, registered Sep 6, 2007 (2 days) · Other
- G•••••• A•••• C••••• left L•• F•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2022-03-01)Apr 1, 2022 · Advisor changed firm · 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
- 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