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.
K•••• A•• P••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 14, 2020 · West Linn, Or
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Nov 8, 2017 · West Linn, Or
- C••••••••• F•••••••• N•••••• national BDSep 25, 2002 to Feb 10, 2004 · West Linn, Or
- V••••••• I••••••••• A•••••••• I••• unclassifiedMay 11, 1998 to Jul 11, 2002 · Lake Oswego, Or
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Nov 8, 2017, registered Oct 14, 2020 (1071 days) · Affiliated broker-dealer or bank to another
- C••••••••• F•••••••• N•••••• to S•••••••• F••••••••• I•••left Feb 10, 2004, registered Oct 31, 2005 (629 days) · Other
- V••••••• I••••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Jul 11, 2002, registered Sep 25, 2002 (76 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address