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.
D•••• M•••• E••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 15, 2020 · San Antonio, Tx
- K••••• A•••••••• I••• BD affiliatedJan 15, 2015 to Jul 27, 2018 · Newberg, Or
- U•• F•••••••• S••••••• I••• wirehouseFeb 12, 2007 to May 23, 2014 · Lake Oswego, Or
- E••••••••• F•••••••• S•••••••• I••• unclassifiedDec 3, 2004 to Nov 27, 2006 · Newberg, Or
- K••••• S••••••••• I••• unclassifiedJul 23, 2004 to Sep 7, 2005 · Portland, Or
- M••••••••• F•••••••• S•••••••• I••• unclassifiedJan 22, 2001 to Dec 12, 2003 · Spokane, Wa
- K••••• A•••••••• I••• to L•• F•••••••• L••left Jul 27, 2018, registered Jan 15, 2020 (537 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to K••••• A•••••••• I•••left May 23, 2014, registered Jan 15, 2015 (237 days) · Other
- E••••••••• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Nov 27, 2006, registered Feb 12, 2007 (77 days) · Other
- K••••• S••••••••• I••• to E••••••••• F•••••••• S•••••••• I•••left Sep 7, 2005, registered Dec 3, 2004 (-278 days) · Other
- M••••••••• F•••••••• S•••••••• I••• to K••••• S••••••••• I•••left Dec 12, 2003, registered Jul 23, 2004 (224 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address