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••• M•••••• E••••••
- S••••• W••••• A•••••••• I••• no RAUM currentsince Jan 18, 2019 · Lone Tree, Co
- C••••• I••••••••• S••••••• L•• formerMar 29, 2007 to Jan 16, 2008 · Norman, Ok
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Mar 20, 2007 · Oklahoma City, Ok
- B••• O•• S••••••••• C••••••••• unclassifiedFeb 13, 2004 to Jul 6, 2005 · Oklahoma City, Ok
- C••••• I••••••••• S••••••• L•• to S••••• W••••• A•••••••• I•••left Jan 16, 2008, registered Jan 18, 2019 (4020 days) · Other
- C•••• I••••••••• S••••••• C•••• to C••••• I••••••••• S••••••• L••left Mar 20, 2007, registered Mar 29, 2007 (9 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address