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.
- E••••• J•••• national BD currentsince Sep 8, 2025 · Tulsa, Ok
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Sep 10, 2025 · Tulsa, Ok
- I••••• F•••••••• C••••••••• formerAug 31, 2017 to Feb 14, 2018 · Tulsa, Ok
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• independent RIAJan 5, 2016 to Aug 1, 2017 · St Charles, Mo
- F•••• A••••••• independent RIAJan 21, 2015 to Feb 3, 2016 · St. Charles, Mo
- U••• B•••••• I••••••••• I••• formerNov 13, 2006 to May 14, 2014 · Belleville, Il
- C••••••• B•••••••• S•••••••• I•• formerSep 2, 2004 to Oct 24, 2006 · Kansas City, Ks
- B•• F•••••••• A••••••• BD affiliatedOct 28, 2002 to Jun 11, 2004 · Albuquerque, Nm
- L•• F•••••••• L•• to E••••• J••••left Sep 10, 2025, registered Sep 8, 2025 (-2 days) · Affiliated broker-dealer or bank to another
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- T•• O•• R•••• F•••••••• S••••••• G••••• I•• to I••••• F•••••••• C•••••••••left Aug 1, 2017, registered Aug 31, 2017 (30 days) · Other
- F•••• A••••••• to T•• O•• R•••• F•••••••• S••••••• G••••• I••left Feb 3, 2016, registered Jan 5, 2016 (-29 days) · Other
- U••• B•••••• I••••••••• I••• to F•••• A•••••••left May 14, 2014, registered Jan 21, 2015 (252 days) · Other
- C••••••• B•••••••• S•••••••• I•• to U••• B•••••• I••••••••• I•••left Oct 24, 2006, registered Nov 13, 2006 (20 days) · Other
- B•• F•••••••• A••••••• to C••••••• B•••••••• S•••••••• I••left Jun 11, 2004, registered Sep 2, 2004 (83 days) · Other
- G••••• W••••• K••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-09-08)Sep 10, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address