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.
T•••••• M•••••• M•••••
- A••••• W••••• M••••••••• independent RIA currentsince Sep 10, 2019 · Tulsa, Ok
- W•••• F•••• A••••••• wirehouseJul 11, 2016 to Aug 23, 2019 · Missouri City, Tx
- B•• F•••••••• A••••••• BD affiliatedFeb 22, 2012 to Jul 28, 2016 · Bartlesville, Ok
- W•••• F•••• A••••••• wirehouseJun 30, 2009 to Feb 21, 2012 · Bartlesville, Ok
- W•••• F•••• A••••••• to A••••• W••••• M•••••••••left Aug 23, 2019, registered Sep 10, 2019 (18 days) · Wirehouse to affiliated broker-dealer or bank
- B•• F•••••••• A••••••• to W•••• F•••• A•••••••left Jul 28, 2016, registered Jul 11, 2016 (-17 days) · Other
- W•••• F•••• A••••••• to B•• F•••••••• A•••••••left Feb 21, 2012, registered Feb 22, 2012 (1 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address