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••••• G•••••• H••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Edmond, Ok
- L•• F•••••••• L•• BD affiliatedMay 2, 2019 to Dec 9, 2021 · Oklahoma City, Ok
- B•• F•••••••• A••••••• BD affiliatedMay 4, 2015 to Jun 20, 2019 · Oklahoma City, Ok
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 9, 2014 to May 1, 2015 · Oklahoma City, Ok
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 9, 2021, registered Jun 29, 2023 (567 days) · Affiliated broker-dealer or bank to another
- B•• F•••••••• A••••••• to L•• F•••••••• L••left Jun 20, 2019, registered May 2, 2019 (-49 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to B•• F•••••••• A•••••••left May 1, 2015, registered May 4, 2015 (3 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address