DFX Intelligence

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.

Advisor teams

Teams that left Bok Financial Advisors

A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.

AdvisorsFromToBranchTypeLeft
2Bok Financial Advisors BD affiliatedMorgan Stanley wirehouseTulsa, OkAffiliated broker-dealer or bank to wirehouseOct 12, 2022
2Bok Financial Advisors BD affiliatedRobert W. Baird & Co. Incorporated mixed wealthEnglewood, CoAffiliated broker-dealer or bank to independent RIADec 16, 2020
over 1 d
2Bok Financial Advisors BD affiliatedMariner BD affiliatedOverland Park, KsAffiliated broker-dealer or bank to anotherDec 5, 2019
2Bok Financial Advisors BD affiliatedHilltop Securities Inc. BD affiliatedDallas, TxAffiliated broker-dealer or bank to anotherApr 20, 2018
2Bok Financial Advisors otherWells Fargo Advisors wirehouseBroken Arrow, OkOtherJul 17, 2017
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5 teams match.derived from registration dates