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.
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A••••• J••• G•••••
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 8, 2024 · Springfield, Or
- A•••• P•••• A••••••• formerNov 6, 2020 to Nov 8, 2024 · Springfield, Or
- K•• F•••••••• S•••••••• I•• formerJul 31, 2019 to Nov 6, 2020 · Springfield, Or
- C••••• A••••••• L•• formerFeb 28, 2012 to May 13, 2022 · Greenwood Village, Co
- P•••••• W••• F•••••••• C••••••••• I•• formerOct 19, 2010 to Feb 28, 2012 · Renton, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 14, 2009 · Eugene, Or
- M••••• S•••••• • C•• L•• unclassifiedDec 5, 2008 to Jun 1, 2009 · New York, Ny
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJul 12, 2007 to Dec 10, 2008 · Eugene, Or
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to K•• F•••••••• S•••••••• I••left May 13, 2022, registered Jul 31, 2019 (-1017 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to P•••••• W••• F•••••••• C••••••••• I••left Dec 14, 2009, registered Oct 19, 2010 (309 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S•••••• P••••••• I••••••••• S••••••••• L•• to M••••• S•••••• • C•• L••left Dec 10, 2008, registered Dec 5, 2008 (-5 days) · Other
- A••••• J••• G••••• left C••••• A••••••• L•• for K•• F•••••••• S•••••••• I•• (registered 2019-07-31)May 13, 2022 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address