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.
J•••• S•••• R••••••••
- S••••• P•••• A••••••• L•• state registered currentsince Nov 19, 2020 · Ridgefield, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 18, 2009 to Sep 9, 2020 · Portland, Or
- T• A••••••••• I••• formerAug 13, 2009 to Sep 9, 2020 · Portland, Or
- S•••••••• A••••••• L•• national BDNov 15, 2001 to Jun 24, 2009 · Salt Lake City, Ut
- T• A••••••••• I••••••••• M••••••••• L•• to S••••• P•••• A••••••• L••left Sep 9, 2020, registered Nov 19, 2020 (71 days) · RIA to a state-registered adviser
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 9, 2020, registered Aug 18, 2009 (-4040 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to T• A••••••••• I•••left Jun 24, 2009, registered Aug 13, 2009 (50 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address