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.
A••• R•••• H•••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Broken Arrow, Ok
- S••••••••• A•••••• A•••••••• I••• formerOct 29, 2020 to Jun 14, 2024 · Jenks, Ok
- A••••• W••••• M••••••••• independent RIAMar 5, 2019 to Apr 28, 2020 · Tulsa, Ok
- B•• F•••••••• A••••••• BD affiliatedJun 9, 2016 to Apr 3, 2019 · Tulsa, Ok
- A••••••••• F•••••••• S•••••••• L•• national BDApr 30, 2015 to Apr 28, 2016 · Tulsa, Ok
- M••••• S•••••• wirehouseOct 5, 2012 to Mar 4, 2015 · Tulsa, Ok
- W•••••• • R••• formerDec 11, 2008 to Oct 3, 2012 · Tulsa, Ok
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- A••••• W••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••left Apr 28, 2020, registered Oct 29, 2020 (184 days) · Affiliated broker-dealer or bank to another
- B•• F•••••••• A••••••• to A••••• W••••• M•••••••••left Apr 3, 2019, registered Mar 5, 2019 (-29 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to B•• F•••••••• A•••••••left Apr 28, 2016, registered Jun 9, 2016 (42 days) · Other
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 4, 2015, registered Apr 30, 2015 (57 days) · Wirehouse to affiliated broker-dealer or bank
- W•••••• • R••• to M••••• S••••••left Oct 3, 2012, registered Oct 5, 2012 (2 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address