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.
J•••• K••• B••••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Feb 17, 2021 · Oklahoma City, Ok
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 7, 2020 to Dec 31, 2020 · Edmund, Ok
- T• A••••••••• I••• formerFeb 7, 2020 to Jan 11, 2021 · Oklahoma City, Ok
- A••••• W••••• M••••••••• independent RIADec 2, 2016 to Dec 20, 2019 · Oklahoma City, Ok
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 30, 2016 · Warr Acres, Ok
- C••••• I••••••••• S••••••• L•• formerNov 1, 2012 to Jan 21, 2014 · Warr Acres, Ok
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 6, 2012 · Midwest City, Ok
- C•••• I••••••••• S••••••• C•••• formerSep 20, 2011 to Oct 1, 2012 · Oklahoma City, Ok
- T• A••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jan 11, 2021, registered Feb 17, 2021 (37 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 7, 2020 (-328 days) · corporate re-registration, not a move
- A••••• W••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 20, 2019, registered Feb 7, 2020 (49 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to A••••• W••••• M•••••••••left Nov 30, 2016, registered Dec 2, 2016 (2 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••••• I••••••••• S••••••• L••left Nov 6, 2012, registered Nov 1, 2012 (-5 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- No RAUM reportedderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address