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.
D•••••• M•••• L••••••••
- M••••• S•••••• wirehouse currentsince Jun 26, 2013 · Kennewick, Wa
- P•••••• W••• F•••••••• C••••••••• I•• formerAug 5, 2010 to Feb 3, 2012 · Renton, Wa
- R•• C•••••• M••••••• L•• national BDDec 2, 2008 to Nov 25, 2009 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 23, 2003 to Dec 8, 2008 · Baker City, Or
- P•••••• W••• F•••••••• C••••••••• I•• to M••••• S••••••left Feb 3, 2012, registered Jun 26, 2013 (509 days) · Other
- R•• C•••••• M••••••• L•• to P•••••• W••• F•••••••• C••••••••• I••left Nov 25, 2009, registered Aug 5, 2010 (253 days) · Other
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Dec 8, 2008, registered Dec 2, 2008 (-6 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address