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•••••• E• W•••••••
- E••••• J•••• national BD currentsince Jan 1, 2025 · Medford, Or
- U••• B•••••• I••••••••• I••• formerMar 22, 2010 to Sep 9, 2022 · Medford, Or
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Mar 17, 2010 · Brookings, Or
- W••• I••••••••• I••• unclassifiedJun 8, 2007 to May 2, 2009 · Gold Beach, Or
- U••• B•••••• I••••••••• I••• to E••••• J••••left Sep 9, 2022, registered Jan 1, 2025 (845 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Mar 17, 2010, registered Mar 22, 2010 (5 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• E• W••••••• left U••• B•••••• I••••••••• I••• for E••••• J•••• (registered 2025-01-01)Sep 9, 2022 · Advisor changed firm · fact
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address