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.
A•••••• M•••••• B••••••
- D••• D••••••• • C•• independent RIA currentsince Nov 24, 2023 · Lake Oswego, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 31, 2023 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedAug 20, 2007 to Jan 3, 2011 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Aug 13, 2007 · Las Vegas, Nv
- C••••••• I••••••••• S••••••• unclassifiedFeb 5, 2004 to May 29, 2007 · Las Vegas, Nv
- A••••••••• P••••••• I••••••••• A••••••• I•• unclassifiedJan 8, 2004 to Jan 15, 2004 · Henderson, Nv
- P•••• S••••••••• L•• no RAUMFeb 9, 2001 to Oct 14, 2003 · Las Vegas, Nv
- W•••• F•••• A••••••• to D••• D••••••• • C••left Aug 31, 2023, registered Nov 24, 2023 (85 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 Aug 13, 2007, registered Aug 20, 2007 (7 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• P••••••• I••••••••• A••••••• I•• to C••••••• I••••••••• S•••••••left Jan 15, 2004, registered Feb 5, 2004 (21 days) · Other
- P•••• S••••••••• L•• to A••••••••• P••••••• I••••••••• A••••••• I••left Oct 14, 2003, registered Jan 8, 2004 (86 days) · Other
- A•••••• M•••••• B•••••• left W•••• F•••• A••••••• for D••• D••••••• • C•• (registered 2023-11-24)Aug 31, 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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address