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.
S•••••• G•••• B•••
- C•••••• S••••• • C••• I••• national BD currentsince Apr 12, 2021 · Lake Oswego, Or
- W•••••• • R••• formerMay 11, 2011 to Jan 4, 2018 · Salem, Or
- A••••• A•• P••••••• S••••••• BD affiliatedJun 8, 2006 to Aug 11, 2008 · Charlotte, Nc
- M•• F•••••••• S•••••••• I••• formerJan 13, 2003 to Jul 27, 2005 · Lafayette, Ca
- W•••••• • R••• to C•••••• S••••• • C••• I•••left Jan 4, 2018, registered Apr 12, 2021 (1194 days) · Other
- A••••• A•• P••••••• S••••••• to W•••••• • R•••left Aug 11, 2008, registered May 11, 2011 (1003 days) · Other
- M•• F•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 27, 2005, registered Jun 8, 2006 (316 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address