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.
M•••••• S•• S•••••••••
- M• H••••••• S••••••••• I••• BD affiliated currentsince Dec 15, 2022 · Portland, Or
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• BD affiliatedNov 3, 2017 to Jun 9, 2021 · Kansas City, Mo
- S•••••••• A••••••• L•• national BDMar 18, 2002 to Sep 12, 2017 · Tigard, Or
- A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I••• to M• H••••••• S••••••••• I•••left Jun 9, 2021, registered Dec 15, 2022 (554 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to A••••••• C•••••• I••••••••• P•••••• C••••• G••••• I•••left Sep 12, 2017, registered Nov 3, 2017 (52 days) · Affiliated broker-dealer or bank to a newly registered adviser
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