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.
M•••••• A••••••• G•••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Nov 18, 2019 · Cary, Nc
- E•••• S••••••••• L•• BD affiliatedJan 7, 2008 to Oct 22, 2008 · Oklahoma City, Ok
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Feb 21, 2007 · Lawton, Ok
- F•••• C•••••• B••• unclassifiedJan 6, 2005 to Sep 2, 2005 · Fort Worth, Tx
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 22, 2008, registered Nov 18, 2019 (4044 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to E•••• S••••••••• L••left Feb 21, 2007, registered Jan 7, 2008 (320 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address