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.
J•••• D••• T••••••
- V•••• I••••••••• P••••••• L•• independent RIA currentsince Jan 31, 2024 · Oklahoma City, Ok
- R•••••• J•••• • A••••••••• I••• national BDOct 23, 2009 to May 9, 2011 · Oklahoma City, Ok
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 29, 2009 · Oklahoma City, Ok
- M••••• S•••••• • C•• L•• unclassifiedNov 24, 2008 to Jun 1, 2009 · Oklahoma City, Ok
- M••••• S•••••• D• I••• unclassifiedOct 3, 2003 to Jul 6, 2005 · Oklahoma Cty, Ok
- R•••••• J•••• • A••••••••• I••• to V•••• I••••••••• P••••••• L••left May 9, 2011, registered Jan 31, 2024 (4650 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Oct 29, 2009, registered Oct 23, 2009 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Jul 6, 2005, registered Nov 24, 2008 (1237 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address