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.
E••••••• A•••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Portland, Or
- S•••••••• F••••••••• I••• formerSep 1, 2020 to Sep 1, 2023 · Lake Oswego, Or
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Sep 11, 2020 · Lake Oswego, Or
- S•• I••••••••• I••• formerAug 11, 2016 to Feb 16, 2018 · Lake Oswego, Or
- S•••••••• F••••••••• I••• formerMay 6, 2013 to Aug 22, 2016 · Portland, Or
- S••••••• F•••••••• S••••••• formerJul 18, 2011 to Jun 20, 2016 · Portland, Or
- P•••••• I••••••••• C••••••• L•• formerSep 2, 2008 to May 31, 2011 · Portland, Or
- A••••••••• A•••••• S•••••••• I••• unclassifiedAug 5, 2005 to Sep 4, 2008 · Ft. Worth, Tx
- S•••••• N••••••• • C••••••• I••••••••• national BDMay 15, 2002 to Aug 1, 2005 · Southlake, Tx
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Sep 11, 2020, registered Sep 1, 2020 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to S•• I••••••••• I•••left Aug 22, 2016, registered Aug 11, 2016 (-11 days) · Other · moved with a team
- S••••••• F•••••••• S••••••• to S•••••••• F••••••••• I•••left Jun 20, 2016, registered May 6, 2013 (-1141 days) · Other · moved with a team
- P•••••• I••••••••• C••••••• L•• to S••••••• F•••••••• S•••••••left May 31, 2011, registered Jul 18, 2011 (48 days) · Other
- A••••••••• A•••••• S•••••••• I••• to P•••••• I••••••••• C••••••• L••left Sep 4, 2008, registered Sep 2, 2008 (-2 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to A••••••••• A•••••• S•••••••• I•••left Aug 1, 2005, registered Aug 5, 2005 (4 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