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.
S••• A••• P•••••••
- E••••• J•••• national BD currentsince Dec 26, 2023 · Klamath Falls, Or
- U••• B•••••• I••••••••• I••• formerDec 17, 2012 to Jun 17, 2022 · Klamath Falls, Or
- L•• F•••••••• L•• BD affiliatedMay 17, 2011 to Dec 14, 2012 · Klamath Falls, Or
- F•••••••• L•• formerAug 3, 2005 to May 20, 2011 · Klamath Falls, Or
- U••• B•••••• I••••••••• I••• to E••••• J••••left Jun 17, 2022, registered Dec 26, 2023 (557 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Dec 14, 2012, registered Dec 17, 2012 (3 days) · Other
- F•••••••• L•• to L•• F•••••••• L••left May 20, 2011, registered May 17, 2011 (-3 days) · Other
- S••• A••• P••••••• left U••• B•••••• I••••••••• I••• for E••••• J•••• (registered 2023-12-26)Jun 17, 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address