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.
M•••••• E• C•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Edmond, Ok
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 13, 2021 to Mar 31, 2025 · Edmond, Ok
- T• A••••••••• I••• formerSep 16, 2021 to Oct 21, 2021 · Oklahoma City, Ok
- T• A••••••••• I••••••••• M••••••••• L•• formerSep 16, 2021 to Oct 21, 2021 · Oklahoma City, Ok
- J••• M••••• S••••••••• L•• wirehouseFeb 25, 2021 to Aug 3, 2021 · Edmond, Ok
- T• A••••••••• I••• formerFeb 27, 2018 to Jan 11, 2021 · Oklahoma City, Ok
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 31, 2017 to Feb 26, 2018 · Saint Louis, Mo
- S•••••••• A••••••• L•• national BDJul 19, 2012 to May 4, 2016 · Merrimack, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 21, 2021, registered Sep 16, 2021 (-35 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 21, 2021, registered Sep 16, 2021 (-35 days) · channel change inside one enterprise, not a move
- J••• M••••• S••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Aug 3, 2021, registered Sep 16, 2021 (44 days) · Wirehouse to independent RIA
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Jan 11, 2021, registered Feb 25, 2021 (45 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Feb 27, 2018 (-1038 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to S•••••••• I••••••••• M•••••••••left May 4, 2016, registered Jan 31, 2017 (272 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address