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•••••• K•• C•••••••
- A••••••• W••••• A••••••• BD affiliated currentsince Jan 8, 2022 · Vancouver, Wa
- R••••••• I••••••••• A••••••••• I••• formerJul 6, 2016 to Dec 31, 2021 · West Linn, Or
- M••••• W••••• M••••••••• I••• unclassifiedDec 3, 2014 to Dec 20, 2016 · Clackamas, Or
- F••• formerJan 3, 2007 to Dec 31, 2014 · Boca Raton, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 29, 2004 to Dec 31, 2006 · Lake Oswego, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2003 to Jul 20, 2004 · Portland, Or
- R••••••• I••••••••• A••••••••• I••• to A••••••• W••••• A•••••••left Dec 31, 2021, registered Jan 8, 2022 (8 days) · RIA to affiliated broker-dealer or bank
- M••••• W••••• M••••••••• I••• to R••••••• I••••••••• A••••••••• I•••left Dec 20, 2016, registered Jul 6, 2016 (-167 days) · Other
- F••• to M••••• W••••• M••••••••• I•••left Dec 31, 2014, registered Dec 3, 2014 (-28 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to F•••left Dec 31, 2006, registered Jan 3, 2007 (3 days) · Other
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jul 20, 2004, registered Jul 29, 2004 (9 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address