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.
T•••••• D•• M••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 4, 2019 · Edmond, Ok
- F•• S••••••••• C••••••••• formerAug 14, 2018 to Oct 10, 2019 · Edmond, Ok
- A••••• W••••• M••••••••• i••••••••• wealthJun 10, 2016 to May 21, 2018 · Edmond, Ok
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 27, 2016 · Oklahoma City, Ok
- C•••• I••••••••• S••••••• C•••• formerJul 27, 2006 to Oct 1, 2012 · Yukon, Ok
- F•••• I••••••••• A••••••• S•••••••• I••• unclassifiedJan 3, 2006 to Aug 23, 2006 · Edmond, Ok
- M•• F•••••••• S•••••••• I••• formerOct 22, 2003 to Dec 31, 2003 · Oklahoma City, Ok
- M••••• S•••••• D• I••• unclassifiedJul 12, 2002 to Aug 1, 2003 · Oklahoma City, Ok
- F•• S••••••••• C••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 10, 2019, registered Oct 4, 2019 (-6 days) · corporate re-registration, not a move
- A••••• W••••• M••••••••• to F•• S••••••••• C•••••••••left May 21, 2018, registered Aug 14, 2018 (85 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to A••••• W••••• M•••••••••left Jun 27, 2016, registered Jun 10, 2016 (-17 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- F•••• I••••••••• A••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Aug 23, 2006, registered Jul 27, 2006 (-27 days) · Other
- M•• F•••••••• S•••••••• I••• to F•••• I••••••••• A••••••• S•••••••• I•••left Dec 31, 2003, registered Jan 3, 2006 (734 days) · Other
- M••••• S•••••• D• I••• to M•• F•••••••• S•••••••• I•••left Aug 1, 2003, registered Oct 22, 2003 (82 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address