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.
D•••• J••••••• H••••
- G••••• P•••••• W••••• A••••••• L•• independent RIA currentsince Jun 23, 2022 · Durant, Ok
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 20, 2019 to Jun 24, 2022 · Durant, Ok
- L•• F•••••••• L•• BD affiliatedJun 23, 2015 to Jun 10, 2019 · Bloomfield, Nm
- K••••• A••••••• S•••••••• L•• to G••••• P•••••• W••••• A••••••• L••left Jun 24, 2022, registered Jun 23, 2022 (-1 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Jun 10, 2019, registered May 20, 2019 (-21 days) · RIA to affiliated broker-dealer or bank · moved with a team
- D•••• J••••••• H•••• left K••••• A••••••• S•••••••• L•• for G••••• P•••••• W••••• A••••••• L•• (registered 2022-06-23)Jun 24, 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address