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.
L•••• L••• R••••••
- I•••••••• F•••••••• A•••••••• L•• independent RIA currentsince Apr 28, 2022 · Woburn, Ma
- C••• I••••••••• A•••••••• I••• independent RIAAug 8, 2017 to Jan 3, 2022 · Edmond, Ok
- W•• S••••••••• L•• state registeredMar 30, 2017 to Sep 1, 2017 · Edmond, Ok
- K••••••• C•••••• C••••••••• formerJan 9, 2015 to Oct 31, 2016 · Edmond, Ok
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 15, 2008 to Dec 8, 2014 · Edmond, Ok
- J••• M••••• S••••••••• I••• unclassifiedJan 22, 2007 to Feb 29, 2008 · Oklahoma City, Ok
- C•••• I••••••••• S••••••• C•••• formerMay 26, 2006 to Jan 9, 2007 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 15, 2006 · Edmond, Ok
- P••••••••• E••••• G••••• L•• unclassifiedJul 20, 2001 to Jul 1, 2003 · Oklahoma City, Ok
- C••• I••••••••• A•••••••• I••• to I•••••••• F•••••••• A•••••••• L••left Jan 3, 2022, registered Apr 28, 2022 (115 days) · RIA to RIA
- W•• S••••••••• L•• to C••• I••••••••• A•••••••• I•••left Sep 1, 2017, registered Aug 8, 2017 (-24 days) · Other
- K••••••• C•••••• C••••••••• to W•• S••••••••• L••left Oct 31, 2016, registered Mar 30, 2017 (150 days) · Other
- M•• I•••••••• S•••••••• L•• to K••••••• C•••••• C•••••••••left Dec 8, 2014, registered Jan 9, 2015 (32 days) · Other
- J••• M••••• S••••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 29, 2008, registered May 15, 2008 (76 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• I•••left Jan 9, 2007, registered Jan 22, 2007 (13 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left May 15, 2006, registered May 26, 2006 (11 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- L•••• L••• R•••••• left C••• I••••••••• A•••••••• I••• for I•••••••• F•••••••• A•••••••• L•• (registered 2022-04-28)Jan 3, 2022 · 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address