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.
- H••••••••• W••••• independent RIA currentsince Oct 31, 2024 · Tulsa, Ok
- W•••• F•••• A••••••• wirehouseJun 30, 2017 to Oct 30, 2024 · Tulsa, Ok
- B•• F•••••••• A••••••• BD affiliatedMar 5, 2014 to Jul 17, 2017 · Tulsa, Ok
- M••••• S•••••• wirehouseOct 25, 2013 to Mar 5, 2014 · Fayetteville, Ar
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 29, 2008 to Jul 30, 2009 · Fort Worth, Tx
- T• A••••••••• I••• formerAug 29, 2008 to Jul 30, 2009 · Fort Worth, Tx
- C•••••• S••••• • C••• I••• national BDNov 10, 2003 to Aug 22, 2008 · Bentonville, Ar
- W•••• F•••• A••••••• to H••••••••• W•••••left Oct 30, 2024, registered Oct 31, 2024 (1 days) · Wirehouse to independent RIA
- B•• F•••••••• A••••••• to W•••• F•••• A•••••••left Jul 17, 2017, registered Jun 30, 2017 (-17 days) · Other · moved with a team
- M••••• S•••••• to B•• F•••••••• A•••••••left Mar 5, 2014, registered Mar 5, 2014 (0 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to M••••• S••••••left Jul 30, 2009, registered Oct 25, 2013 (1548 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 30, 2009, registered Aug 29, 2008 (-335 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Aug 22, 2008, registered Aug 29, 2008 (7 days) · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• A••• C••••• left W•••• F•••• A••••••• for H••••••••• W••••• (registered 2024-10-31)Oct 30, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address