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•••• J•• L•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Clackamas, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 11, 2023 to Mar 31, 2025 · Beaverton, Or
- E•••••• E••••• L•• BD affiliatedSep 22, 2022 to Sep 5, 2023 · Tualatin, Or
- W•••••• S••••••••• C••••••••• unclassifiedDec 2, 2009 to Apr 16, 2010 · Eden Prairie, Mn
- C•••••• S••••••••• I••• unclassifiedJan 4, 2006 to Aug 31, 2009 · Lakewood, Co
- U••••• S••••••••• A•••••••• I••• unclassifiedDec 1, 2003 to Dec 31, 2005 · West Linn, Or
- C••••••••• A•••••••• I•• formerFeb 27, 2001 to Oct 15, 2003 · Woodland Hills, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••••• E••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 5, 2023, registered Dec 11, 2023 (97 days) · Affiliated broker-dealer or bank to another
- W•••••• S••••••••• C••••••••• to E•••••• E••••• L••left Apr 16, 2010, registered Sep 22, 2022 (4542 days) · Other
- C•••••• S••••••••• I••• to W•••••• S••••••••• C•••••••••left Aug 31, 2009, registered Dec 2, 2009 (93 days) · Other
- U••••• S••••••••• A•••••••• I••• to C•••••• S••••••••• I•••left Dec 31, 2005, registered Jan 4, 2006 (4 days) · Other
- C••••••••• A•••••••• I•• to U••••• S••••••••• A•••••••• I•••left Oct 15, 2003, registered Dec 1, 2003 (47 days) · Other
- D•••• J•• L••••• left E•••••• E••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-12-11)Sep 5, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address