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.
N••• D• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 12, 2012 · Bend, Or
- L•• F•••••••• L•• BD affiliatedJun 3, 2011 to Dec 3, 2012 · John Day, Or
- S••••••• I••••••••• S•••••••• I••• formerDec 6, 2010 to May 4, 2011 · Raleigh, Nc
- F•••••••• L•• formerFeb 11, 2003 to Dec 3, 2010 · Coos Bay, Or
- L•• F•••••••• L•• to J••• M••••• S••••••••• L••left Dec 3, 2012, registered Dec 12, 2012 (9 days) · Other
- S••••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left May 4, 2011, registered Jun 3, 2011 (30 days) · Other
- F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Dec 3, 2010, registered Dec 6, 2010 (3 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address