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.
J•••• D•• S•••••
- M••••••• I••••••••• N•••••• I••• BD affiliated currentsince Jun 25, 2021 · Claremore, Ok
- H•••••• S••••••••• I••• BD affiliatedSep 8, 2009 to Jul 7, 2021 · Oklahoma City, Ok
- U•• F•••••••• S••••••• I••• wirehouseFeb 5, 2008 to Sep 15, 2009 · Tulsa, Ok
- W•••• F•••• A••••••• wirehouseOct 27, 2000 to Feb 8, 2008 · Oklahoma City, Ok
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Jul 7, 2021, registered Jun 25, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left Sep 15, 2009, registered Sep 8, 2009 (-7 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Feb 8, 2008, registered Feb 5, 2008 (-3 days) · Wirehouse to wirehouse
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address