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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 31, 2019 · Tulsa, Ok
- P••••••• F•••••••• S•••••••• I••• BD affiliatedOct 24, 2014 to Jul 31, 2019 · Tulsa, Ok
- P••••••• C•••••• A•••••••• I••• formerMay 24, 2013 to Oct 29, 2014 · Oklahoma City, Ok
- E••••• J•••• national BDJun 17, 2008 to May 31, 2013 · Collinsville, Ok
- P••••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 31, 2019, registered Jul 31, 2019 (0 days) · RIA to affiliated broker-dealer or bank
- P••••••• C•••••• A•••••••• I••• to P••••••• F•••••••• S•••••••• I•••left Oct 29, 2014, registered Oct 24, 2014 (-5 days) · Other
- E••••• J•••• to P••••••• C•••••• A•••••••• I•••left May 31, 2013, registered May 24, 2013 (-7 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address