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••••••••• J• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 21, 2020 · Broken Arrow, Ok
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 2, 2019 to Oct 21, 2020 · Broken Arrow, Ok
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 4, 2019 to Jul 29, 2019 · Claremore, Ok
- A••••••••• F•••••••• S•••••••• L••••• unclassifiedJul 23, 2009 to Aug 31, 2017 · Tulsa, Ok
- C•••• I••••••••• S••••••• C•••• formerJun 21, 2007 to Jul 25, 2008 · Tulsa, Ok
- A• G• E•••••• • S•••• I••• unclassifiedJan 24, 2005 to Dec 16, 2005 · Tulsa, Ok
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Oct 21, 2020, registered Oct 21, 2020 (0 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 29, 2019, registered Aug 2, 2019 (4 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L••••• to A••••••• F•••••••• A•••••••• L••left Aug 31, 2017, registered Apr 4, 2019 (581 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••••••• F•••••••• S•••••••• L•••••left Jul 25, 2008, registered Jul 23, 2009 (363 days) · Other
- A• G• E•••••• • S•••• I••• to C•••• I••••••••• S••••••• C••••left Dec 16, 2005, registered Jun 21, 2007 (552 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address