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.
T••• J•••• J•••••••
- D••• D••••••• • C•• independent RIA currentsince Aug 27, 2019 · Bend, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 29, 2019 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedMar 24, 2009 to Jan 3, 2011 · Bend, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 23, 2003 to Apr 15, 2009 · Bend, Or
- W•••• F•••• A••••••• to D••• D••••••• • C••left Aug 29, 2019, registered Aug 27, 2019 (-2 days) · Wirehouse to independent RIA
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to W•••• F•••• I••••••••• L••left Apr 15, 2009, registered Mar 24, 2009 (-22 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address