DFX Intelligence

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.

Registered advisor

B•••• A••• P•••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedBroadway, Okdual registrantIAPD 4371381

Feed of 09/14/2026

Also filed as B•••• A••• P•••

At current firm

6 y

since Oct 4, 2019

In the industry

25 y

since May 24, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since Oct 4, 2019 · Broadway, Ok
F•• S••••••••• C••••••••• former
Nov 20, 2013 to Oct 10, 2019 · Edmond, Ok
I••••••••• F•••••••• G••••• L•• BD affiliated
Mar 2, 2012 to Nov 18, 2013 · Oklahoma City, Ok
B•• F•••••••• A••••••• BD affiliated
Jan 22, 2008 to Jan 17, 2012 · Oklahoma City, Ok
U•••• F•••••••• S••••••• G••••• I••• unclassified
Feb 12, 2007 to Dec 17, 2007 · Edmond, Ok
C•••• I••••••••• S••••••• C•••• former
Aug 24, 2005 to Feb 1, 2007 · Oklahoma City, Ok
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 25, 2004 to Aug 30, 2005 · Oklahoma City, Ok
B••• O•• S••••••••• C••••••••• unclassified
Jan 29, 2004 to May 4, 2004 · Midwest City, Ok
M••••• S•••••• D• I••• unclassified
Nov 28, 2001 to Jul 15, 2002 · Edmond, Ok

Moves

a registration end followed by a registration begin elsewhere

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
I••••••••• F•••••••• G••••• L•• to F•• S••••••••• C•••••••••
left Nov 18, 2013, registered Nov 20, 2013 (2 days) · Other
B•• F•••••••• A••••••• to I••••••••• F•••••••• G••••• L••
left Jan 17, 2012, registered Mar 2, 2012 (45 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to B•• F•••••••• A•••••••
left Dec 17, 2007, registered Jan 22, 2008 (36 days) · Other
C•••• I••••••••• S••••••• C•••• to U•••• F•••••••• S••••••• G••••• I•••
left Feb 1, 2007, registered Feb 12, 2007 (11 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••
left Aug 30, 2005, registered Aug 24, 2005 (-6 days) · Other
B••• O•• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 4, 2004, registered May 25, 2004 (21 days) · Other
M••••• S•••••• D• I••• to B••• O•• S••••••••• C•••••••••
left Jul 15, 2002, registered Jan 29, 2004 (563 days) · Other

Signals

No dated event on this person.

Transition signals

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.

Provenance

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