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••• G••• J••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 16, 2018 · Portland, Or
- W•••• F•••• A••••••• wirehouseOct 12, 2012 to Jul 18, 2018 · Portland, Or
- J•• C•••••• A•••••••• L•• formerApr 11, 2012 to Jun 18, 2012 · Portland, Or
- P•••••• I••••••••• C••••••• L•• formerOct 22, 2010 to Apr 11, 2012 · Portland, Or
- A••••••••• F•••••••• S•••••••• L•• national BDJun 24, 2010 to Oct 28, 2010 · Portland, Or
- A••••••••• F•••••••• S•••••••• L•• national BDMay 14, 2009 to Jun 7, 2010 · Yakima, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 30, 2007 to Jan 23, 2009 · Portland, Or
- P•••••• C••••••••• G••••• I••• unclassifiedOct 11, 2006 to Nov 27, 2007 · Portland, Or
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 18, 2018, registered Jul 16, 2018 (-2 days) · Wirehouse to independent RIA
- J•• C•••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 18, 2012, registered Oct 12, 2012 (116 days) · Other
- P•••••• I••••••••• C••••••• L•• to J•• C•••••• A•••••••• L••left Apr 11, 2012, registered Apr 11, 2012 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••••• I••••••••• C••••••• L••left Oct 28, 2010, registered Oct 22, 2010 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 23, 2009, registered May 14, 2009 (111 days) · Other
- P•••••• C••••••••• G••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 27, 2007, registered Nov 30, 2007 (3 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