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.
D•••••• R•• C•••••••
- P••• G•••• F••••••••• I••• independent RIA currentsince Jan 12, 2023 · Oklahoma City, Ok
- P••• G•••• F••••••••• I••• independent RIAMar 11, 2013 to Dec 31, 2022 · Oklahoma City, Ok
- F•• S••••••••• C••••••••• formerJul 14, 2011 to Sep 21, 2012 · Oklahoma City, Ok
- P••• G•••• F••••••••• I••• independent RIAFeb 5, 2007 to Jul 7, 2011 · Oklahoma City, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 27, 2004 to May 3, 2006 · Oklahoma City, Ok
- F•• S••••••••• C••••••••• to P••• G•••• F••••••••• I•••left Sep 21, 2012, registered Mar 11, 2013 (171 days) · Other
- P••• G•••• F••••••••• I••• to F•• S••••••••• C•••••••••left Jul 7, 2011, registered Jul 14, 2011 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••• G•••• F••••••••• I•••left May 3, 2006, registered Feb 5, 2007 (278 days) · Wirehouse to independent RIA
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