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•••• A••• M••••
- N•••••• A••••••• BD affiliated currentsince Jan 25, 2022 · Bend, Or
- F••••• I••••••••• independent RIAMay 22, 2018 to Sep 7, 2018 · Plano, Tx
- D••• D••••••• • C•• independent RIAJan 30, 2008 to Oct 9, 2017 · Portland, Or
- F••••• I••••••••• to N•••••• A•••••••left Sep 7, 2018, registered Jan 25, 2022 (1236 days) · RIA to affiliated broker-dealer or bank
- D••• D••••••• • C•• to F••••• I•••••••••left Oct 9, 2017, registered May 22, 2018 (225 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