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.
J••• H••• N••••
- S•• B•••••• F•••••••• S•••••••• I••• BD affiliated currentsince Mar 15, 2019 · Edmond, Ok
- C••••••••• F•••••••• S••••••• independent RIANov 13, 2018 to Mar 8, 2019 · Edmond, Ok
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• BD affiliatedAug 19, 2009 to Sep 19, 2018 · Edmond, Ok
- W•• A•••••••• L• formerJul 13, 2009 to Aug 14, 2009 · Oklahoma City, Ok
- C•••••• A•••••••• L•• unclassifiedMar 26, 2004 to Sep 14, 2009 · Oklahoma City, Ok
- S•••••• • C••• I••• unclassifiedJun 29, 1999 to Jun 16, 2004 · Oklahoma City, Ok
- C••••••••• F•••••••• S••••••• to S•• B•••••• F•••••••• S•••••••• I•••left Mar 8, 2019, registered Mar 15, 2019 (7 days) · RIA to affiliated broker-dealer or bank
- B•••••• F••••• • C•••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• S•••••••left Sep 19, 2018, registered Nov 13, 2018 (55 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• A•••••••• L•• to W•• A•••••••• L•left Sep 14, 2009, registered Jul 13, 2009 (-63 days) · Other
- W•• A•••••••• L• to B•••••• F••••• • C•••••• F•••••••• S•••••••• I•••left Aug 14, 2009, registered Aug 19, 2009 (5 days) · Other
- S•••••• • C••• I••• to C•••••• A•••••••• L••left Jun 16, 2004, registered Mar 26, 2004 (-82 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address