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.
K••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Muskogee, Ok
- C••• B•••••••• S•••••••• I••• formerJan 10, 2022 to May 18, 2022 · Tulsa, Ok
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 27, 2017 to Jun 4, 2019 · Bartlesville, Ok
- M••••• S•••••• wirehouseApr 1, 2016 to Aug 21, 2017 · Bartlesville, Ok
- E••••• J•••• national BDSep 15, 2014 to Apr 1, 2016 · St Louis, Mo
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- A••••••• F•••••••• A•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jun 4, 2019, registered Jan 10, 2022 (951 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••• F•••••••• A•••••••• L••left Aug 21, 2017, registered Sep 27, 2017 (37 days) · Other
- E••••• J•••• to M••••• S••••••left Apr 1, 2016, registered Apr 1, 2016 (0 days) · Affiliated broker-dealer or bank to wirehouse
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address