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.
S•••••• X••••• C••••••
- O•••• W•••••• I••• BD affiliated currentsince Nov 3, 2023 · Bend, Or
- F•• S••••••••• C••••••••• formerSep 8, 2021 to Nov 3, 2023 · Bend, Or
- A••••••••• F•••••••• S•••••••• L•• national BDApr 8, 2011 to Dec 31, 2014 · Bend, Or
- D••• D••••••• • C•• independent RIAMay 27, 2005 to Apr 1, 2011 · Bend, Or
- U•• F•••••••• S••••••• I••• wirehouseSep 19, 2002 to Jun 17, 2005 · Bend, Or
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Nov 3, 2023, registered Nov 3, 2023 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to F•• S••••••••• C•••••••••left Dec 31, 2014, registered Sep 8, 2021 (2443 days) · Affiliated broker-dealer or bank to another
- D••• D••••••• • C•• to A••••••••• F•••••••• S•••••••• L••left Apr 1, 2011, registered Apr 8, 2011 (7 days) · Other
- U•• F•••••••• S••••••• I••• to D••• D••••••• • C••left Jun 17, 2005, registered May 27, 2005 (-21 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