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.
G••••••• S•••••••
- S••••••• W••••• M••••••••• independent RIA currentsince Aug 25, 2014 · Clackamas, Or
- L•• F•••••••• L•• BD affiliatedAug 1, 2001 to Sep 9, 2014 · Carrolton, Tx
- V•• B•••••• • A••••••••• I••• formerJul 16, 1999 to Nov 15, 2011 · The Dalles, Or
- L•• F•••••••• L•• to S••••••• W••••• M•••••••••left Sep 9, 2014, registered Aug 25, 2014 (-15 days) · Other
- V•• B•••••• • A••••••••• I••• to L•• F•••••••• L••left Nov 15, 2011, registered Aug 1, 2001 (-3758 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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address