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.
L••• J••• E••••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Newport, Or
- C•••••• A•••••••• L•• unclassifiedOct 23, 2020 to Aug 5, 2021 · Lake Oswego, Or
- L••• S••••• A•••••••• L•• formerJan 10, 2019 to Aug 24, 2021 · Lake Oswego, Or
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 16, 2009 to Dec 31, 2018 · Riverside, Ca
- I••••••••• A••••••• I••••••••• I••• unclassifiedSep 19, 2006 to Nov 12, 2009 · San Jose, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedMar 9, 2004 to Sep 5, 2006 · San Jose, Ca
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 23, 2002 to Dec 31, 2003 · San Jose, Ca
- W•• I••••••••• A•••••••• I••• •••••• unclassifiedJan 1, 1999 to Jul 15, 2002 · Duluth , Ga
- L••• S••••• A•••••••• L•• to C•••••• A•••••••• L••left Aug 24, 2021, registered Oct 23, 2020 (-305 days) · Other
- C•••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 5, 2021, registered Jun 29, 2023 (693 days) · Other
- V••• F•••••••• A•••••••• I••• to L••• S••••• A•••••••• L••left Dec 31, 2018, registered Jan 10, 2019 (10 days) · Affiliated broker-dealer or bank to another
- I••••••••• A••••••• I••••••••• I••• to V••• F•••••••• A•••••••• I•••left Nov 12, 2009, registered Nov 16, 2009 (4 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to I••••••••• A••••••• I••••••••• I•••left Sep 5, 2006, registered Sep 19, 2006 (14 days) · Other
- W•• I••••••••• A•••••••• I••• •••••• to T••••••••• F•••••••• A•••••••• L••left Jul 15, 2002, registered Aug 23, 2002 (39 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address