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.
J••• P• S•••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 26, 2021 · Vancouver, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 24, 2021 to Mar 7, 2022 · Portland, Or
- T• A••••••••• I••• formerFeb 24, 2021 to Mar 7, 2022 · Portland, Or
- F•••• independent RIAJan 21, 2020 to Feb 23, 2021 · Washougal, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 4, 2019 to Jan 15, 2020 · Portland, Or
- T• A••••••••• I••• formerMar 4, 2019 to Jan 15, 2020 · Portland, Or
- E•••••• C•••••• M••••••••• L•• formerDec 21, 2015 to Jan 8, 2019 · Denver, Co
- S•••••••• A••••••• L•• national BDNov 18, 2013 to Dec 4, 2015 · Greenwood Village, Co
- P•••••••• S••••••••• I••• BD affiliatedOct 21, 2010 to Mar 19, 2012 · Denver, Co
- L•• F•••••••• L•• BD affiliatedFeb 25, 2009 to Nov 20, 2009 · Lakewood, Co
- C••• F•••••••• S•••••••• L••• formerJul 19, 2002 to Jun 24, 2003 · Arvada, Co
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Mar 7, 2022, registered Oct 26, 2021 (-132 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 7, 2022, registered Feb 24, 2021 (-376 days) · channel change inside one enterprise, not a move
- F•••• to T• A••••••••• I•••left Feb 23, 2021, registered Feb 24, 2021 (1 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to F••••left Jan 15, 2020, registered Jan 21, 2020 (6 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 15, 2020, registered Mar 4, 2019 (-317 days) · channel change inside one enterprise, not a move · moved with a team
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Jan 8, 2019, registered Mar 4, 2019 (55 days) · Other
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Dec 4, 2015, registered Dec 21, 2015 (17 days) · Other
- P•••••••• S••••••••• I••• to S•••••••• A••••••• L••left Mar 19, 2012, registered Nov 18, 2013 (609 days) · Other
- L•• F•••••••• L•• to P•••••••• S••••••••• I•••left Nov 20, 2009, registered Oct 21, 2010 (335 days) · Other
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Jun 24, 2003, registered Feb 25, 2009 (2073 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address