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.
P•••••• L••••••• C••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2020 · Bend, Or
- E• R•••• I••••••••• L•• formerJan 7, 2020 to Nov 6, 2020 · Federal Way, Wa
- C••••••••• F•••••••• N•••••• national BDOct 12, 2005 to Dec 31, 2019 · Corvallis, Or
- F•••• A••••• S••••••••• I••• formerSep 28, 2004 to Oct 13, 2005 · Corvallis, Or
- E• R•••• I••••••••• L•• to L•• F•••••••• L••left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
- C••••••••• F•••••••• N•••••• to E• R•••• I••••••••• L••left Dec 31, 2019, registered Jan 7, 2020 (7 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• A••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Oct 13, 2005, registered Oct 12, 2005 (-1 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address