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.
T•••• F•••••
- E•••••••• A•••••••• L•• national BD currentsince May 4, 2026 · Oklahoma City, Ok
- C••••• F•••••••• independent RIAJan 18, 2024 to Feb 13, 2026 · Lenexa, Ks
- A••••••••• F•••••••• S•••••••• L•• national BDNov 28, 2022 to Jan 23, 2024 · Oklahoma City, Ok
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Dec 14, 2022 · Oklahoma City, Ok
- C••• B•••••••• S•••••••• I••• formerAug 25, 2020 to May 18, 2022 · Oklahoma City, Ok
- J••• M••••• S••••••••• L•• wirehouseAug 27, 2019 to Aug 27, 2020 · Edmond, Ok
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 29, 2016 to Jul 30, 2019 · Oklahoma City, Ok
- C••••• F•••••••• to E•••••••• A•••••••• L••left Feb 13, 2026, registered May 4, 2026 (80 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to C••••• F••••••••left Jan 23, 2024, registered Jan 18, 2024 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Dec 14, 2022, registered Nov 28, 2022 (-16 days) · RIA to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C••• B•••••••• S•••••••• I•••left Aug 27, 2020, registered Aug 25, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Jul 30, 2019, registered Aug 27, 2019 (28 days) · Wirehouse to wirehouse
- T•••• F••••• left C••••• F•••••••• for E•••••••• A•••••••• L•• (registered 2026-05-04)Feb 13, 2026 · Advisor changed firm · fact
- T•••• F••••• left A••••••••• F•••••••• S•••••••• L•• for C••••• F•••••••• (registered 2024-01-18)Jan 23, 2024 · Advisor changed firm · fact
- T•••• F••••• left L•• F•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-11-28)Dec 14, 2022 · Advisor changed firm · fact
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address