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•••• M•••••• K•••••
- E•••••• P•••••• C••••••• L•• state registered currentsince Jul 16, 2014 · Edmond, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 27, 2012 to Jun 30, 2014 · Oklahoma City, Ok
- E••••• J•••• national BDApr 30, 2008 to Jan 31, 2012 · Norman, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• P•••••• C••••••• L••left Jun 30, 2014, registered Jul 16, 2014 (16 days) · Wirehouse to a state-registered adviser
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 31, 2012, registered Jan 27, 2012 (-4 days) · Affiliated broker-dealer or bank to wirehouse
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address