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••••••• W••• J••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 4, 2025 · Tulsa, Ok
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 27, 2022 to Apr 7, 2025 · Tulsa, Ok
- B• R•••• W••••• M••••••••• formerDec 14, 2012 to Dec 31, 2022 · Memphis, Tn
- S•••••• M••••• L•• independent RIAJun 16, 2006 to Dec 14, 2012 · Tulsa, Ok
- S•• C•••••• A••••••• L•• institutionalFeb 18, 2004 to Dec 31, 2006 · Tulsa, Ok
- P•••• S•••••• • C•• institutionalOct 11, 2000 to Dec 5, 2003 · Tulsa, Ok
- B• R•••• W••••• A•••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 7, 2025, registered Apr 4, 2025 (-3 days) · corporate re-registration, not a move
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 27, 2022 (-126 days) · corporate re-registration, not a move
- S•••••• M••••• L•• to B• R•••• W••••• M•••••••••left Dec 14, 2012, registered Dec 14, 2012 (0 days) · Other
- S•• C•••••• A••••••• L•• to S•••••• M••••• L••left Dec 31, 2006, registered Jun 16, 2006 (-198 days) · corporate re-registration, not a move
- P•••• S•••••• • C•• to S•• C•••••• A••••••• L••left Dec 5, 2003, registered Feb 18, 2004 (75 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address