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.
R•••• L••• L••••••
- B•• F•••••••• A••••••• BD affiliated currentsince Feb 17, 2016 · Oklahoma City, Ok
- R•••••• J•••• • A••••••••• I••• national BDApr 19, 2010 to Aug 28, 2015 · Oklahoma City, Ok
- W•••• F•••• A••••••• wirehouseDec 19, 2006 to Sep 29, 2008 · Edmond, Ok
- U•• F•••••••• S••••••• I••• wirehouseJun 20, 2006 to Jan 8, 2007 · Edmond, Ok
- R•••••• J•••• • A••••••••• I••• to B•• F•••••••• A•••••••left Aug 28, 2015, registered Feb 17, 2016 (173 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Sep 29, 2008, registered Apr 19, 2010 (567 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 8, 2007, registered Dec 19, 2006 (-20 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address