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••• M••••••• R••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 27, 2012 · Oklahoma City, Ok
- M••••• S•••••• wirehouseApr 15, 2010 to Nov 7, 2012 · Purchase, Ny
- B•• F•••••••• A••••••• BD affiliatedJul 2, 2008 to Mar 30, 2010 · Oklahoma City, Ok
- H•••••• S••••••••• I••• BD affiliatedOct 24, 2007 to Jun 19, 2008 · Oklahoma City, Ok
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 7, 2012, registered Nov 27, 2012 (20 days) · Wirehouse to wirehouse
- B•• F•••••••• A••••••• to M••••• S••••••left Mar 30, 2010, registered Apr 15, 2010 (16 days) · Other
- H•••••• S••••••••• I••• to B•• F•••••••• A•••••••left Jun 19, 2008, registered Jul 2, 2008 (13 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address