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••••• D•••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 8, 2026 · Tulsa, Ok
- N•••••• A••••••• BD affiliated currentsince Mar 12, 2020 · Tulsa, Ok
- U•• F•••••••• S••••••• I••• wirehouseNov 20, 2008 to Mar 23, 2020 · Tulsa, Ok
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 21, 2007 to Dec 10, 2008 · Tulsa, Ok
- U•• F•••••••• S••••••• I••• to N•••••• A•••••••left Mar 23, 2020, registered Mar 12, 2020 (-11 days) · Wirehouse to independent RIA · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Dec 10, 2008, registered Nov 20, 2008 (-20 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address