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.
B••••• C• J••••••
- R•• C•••••• M••••••• L•• national BD currentsince Jun 7, 2017 · Eugene, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 15, 2013 to May 16, 2017 · Scottsdale, Az
- M••••• S•••••• wirehouseDec 2, 2010 to May 7, 2013 · Scottsdale, Az
- C••••• I••••••••• S••••••• L•• formerApr 28, 2009 to Nov 19, 2010 · Wilsonville, Or
- W•••• F•••• I••••••••• L•• unclassifiedMar 9, 2006 to Jun 25, 2007 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left May 16, 2017, registered Jun 7, 2017 (22 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 7, 2013, registered May 15, 2013 (8 days) · Wirehouse to wirehouse
- C••••• I••••••••• S••••••• L•• to M••••• S••••••left Nov 19, 2010, registered Dec 2, 2010 (13 days) · Other
- W•••• F•••• I••••••••• L•• to C••••• I••••••••• S••••••• L••left Jun 25, 2007, registered Apr 28, 2009 (673 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address