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•••• P••• W•••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Tulsa, Ok
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJan 12, 2016 to Aug 13, 2018 · Owasso, Ok
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJul 30, 2015 to Dec 31, 2015 · Orlando, Fl
- I••••••••• C•••••• O• A••••••• I••• formerJun 21, 2012 to Jul 30, 2015 · Bismarck, Nd
- S••••••• F•••••••• S•••••••• I••• formerDec 6, 2001 to Jun 22, 2012 · Owasso, Ok
- I••••••••• A••••• I••••••••• M••••••••• L•• to A••••••• A••••••• S•••••••• L••left Aug 13, 2018, registered Nov 1, 2021 (1176 days) · Affiliated broker-dealer or bank to another
- I••••••••• C•••••• O• A••••••• I••• to I••••••••• A••••• I••••••••• M••••••••• L••left Jul 30, 2015, registered Jul 30, 2015 (0 days) · Other
- S••••••• F•••••••• S•••••••• I••• to I••••••••• C•••••• O• A••••••• I•••left Jun 22, 2012, registered Jun 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address