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.
G•••••• A•••• B••••••
- P•• A••••••• S•••••••• L•• independent RIA currentsince Jan 22, 2021 · Albany, Ny
- M••••• W••••• M••••••••• I••• unclassifiedDec 3, 2014 to Dec 31, 2020 · Clackamas, Or
- F••• formerJan 3, 2007 to Dec 31, 2014 · Boca Raton, Fl
- E•• F•••••••• A••••••• independent RIAApr 5, 1995 to Dec 31, 2006 · Portland, Or
- M••••• W••••• M••••••••• I••• to P•• A••••••• S•••••••• L••left Dec 31, 2020, registered Jan 22, 2021 (22 days) · Other
- F••• to M••••• W••••• M••••••••• I•••left Dec 31, 2014, registered Dec 3, 2014 (-28 days) · Other
- E•• F•••••••• A••••••• to F•••left Dec 31, 2006, registered Jan 3, 2007 (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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address