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•••••• BD affiliated currentsince Mar 16, 2022 · Mcminnville, Or
- C••••••• A••••••• S•••••••• L•• formerJul 10, 2018 to Jan 28, 2022 · Mcminnville, Or
- C••••• A••••••• L•• formerFeb 28, 2012 to Oct 24, 2018 · Mcminnville, Or
- P•••••• W••• F•••••••• C••••••••• I•• formerFeb 19, 2002 to Feb 28, 2012 · Mcminnvile, Or
- C••••••• A••••••• S•••••••• L•• to M••••••left Jan 28, 2022, registered Mar 16, 2022 (47 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• A••••••• L•• to C••••••• A••••••• S•••••••• L••left Oct 24, 2018, registered Jul 10, 2018 (-106 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- K•• A•••• M•••••• left C••••••• A••••••• S•••••••• L•• for Mariner (registered 2022-03-16)Jan 28, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address