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.
- M••••• S•••••• wirehouse currentsince Jul 19, 2013 · Tulsa, Ok
- A••••• W••••• M••••••••• independent RIAMar 6, 2003 to Jul 23, 2013 · Tulsa, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 14, 2002 to Dec 19, 2002 · Tulsa, Ok
- A••••• W••••• M••••••••• to M••••• S••••••left Jul 23, 2013, registered Jul 19, 2013 (-4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• W••••• M•••••••••left Dec 19, 2002, registered Mar 6, 2003 (77 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address