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•••• S••••• B••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince May 14, 2013 · Oklahoma City, Ok
- L•• F•••••••• L•• BD affiliatedMay 8, 2013 to Jul 2, 2013 · Oklahoma City, Ok
- C•••••••• F••••••••• I••• BD affiliatedJun 6, 2012 to May 7, 2013 · Oklahoma City, Ok
- L•• F•••••••• L•• to L•••• F••• A••••••• S•••••••left Jul 2, 2013, registered May 14, 2013 (-49 days) · Other
- C•••••••• F••••••••• I••• to L•• F•••••••• L••left May 7, 2013, registered May 8, 2013 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address