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.
R••••• L•• R••••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 10, 2017 · Bend, Or
- U•• F•••••••• S••••••• I••• wirehouseNov 21, 2008 to Dec 31, 2009 · Bend, Or
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 24, 2008 · Bend, Or
- M••••• S•••••• D• I••• unclassifiedApr 23, 2003 to Apr 2, 2007 · Bend, Or
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 31, 2009, registered Aug 10, 2017 (2779 days) · Other
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Nov 24, 2008, registered Nov 21, 2008 (-3 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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