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.
A•••••• J••• P••••••
- T••••••• S••••••• A••••••• BD affiliated currentsince Jun 14, 2024 · Indianapolis, In
- P••••••• C•••••• A•••••••• I••• formerJun 30, 2004 to Jun 28, 2024 · Oklahoma City, Ok
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2002 to Apr 2, 2004 · Edmond, Ok
- A••••••••• F•••••••• S•••••••• L•• national BDMar 28, 2002 to Oct 7, 2002 · Oklahoma City, Ok
- P••••••• C•••••• A•••••••• I••• to T••••••• S••••••• A•••••••left Jun 28, 2024, registered Jun 14, 2024 (-14 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to P••••••• C•••••• A•••••••• I•••left Apr 2, 2004, registered Jun 30, 2004 (89 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 7, 2002, registered Dec 5, 2002 (59 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