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.
W•••• L•• O••••
- W•••••• S••••••••• I••• BD affiliated currentsince Mar 2, 2021 · Lake Oswego, Or
- S••••••• I••••••••• A•••••••• I••• otherMar 9, 2020 to Mar 4, 2021 · Portland, Or
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 29, 2008 to Mar 15, 2011 · Stamford, Ct
- L•••••• F•••••••• D••••••••• I••• unclassifiedJun 21, 2007 to Sep 7, 2007 · Radnor, Pa
- O•••• F•• I••• formerJul 24, 2003 to May 21, 2007 · Philadelphia, Pa
- H••••••• P••••••• • C••• L•• unclassifiedOct 28, 2002 to Nov 27, 2002 · San Francisco, Ca
- S••••••• I••••••••• A•••••••• I••• to W•••••• S••••••••• I•••left Mar 4, 2021, registered Mar 2, 2021 (-2 days) · Other
- C••••• I••••••••• A••••••• L•• to S••••••• I••••••••• A•••••••• I•••left Mar 15, 2011, registered Mar 9, 2020 (3282 days) · Other
- L•••••• F•••••••• D••••••••• I••• to C••••• I••••••••• A••••••• L••left Sep 7, 2007, registered May 29, 2008 (265 days) · Other
- O•••• F•• I••• to L•••••• F•••••••• D••••••••• I•••left May 21, 2007, registered Jun 21, 2007 (31 days) · Other
- H••••••• P••••••• • C••• L•• to O•••• F•• I•••left Nov 27, 2002, registered Jul 24, 2003 (239 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address