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.
C•••••• P•••
- M••••••• • P••• P•••••• W••••• independent RIA currentsince Jun 9, 2020 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseAug 6, 2008 to Jun 10, 2020 · Oklahoma City, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 8, 2007 to Aug 18, 2008 · Tulsa, Ok
- E•••••••• A•••••••• L•• national BDNov 15, 2006 to Feb 5, 2007 · Tulsa, Ok
- W•••• F•••• A••••••• to M••••••• • P••• P•••••• W•••••left Jun 10, 2020, registered Jun 9, 2020 (-1 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Aug 18, 2008, registered Aug 6, 2008 (-12 days) · Other
- E•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 5, 2007, registered Feb 8, 2007 (3 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address