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.
B••••••• R••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 26, 2023 · Tigard, Or
- D••• D••••••• • C•• independent RIAMay 22, 2015 to Oct 30, 2023 · Lake Oswego, Or
- M••••• S•••••• wirehouseJun 1, 2009 to May 28, 2015 · Portland, Or
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Portland, Or
- M••••• S•••••• D• I••• unclassifiedAug 10, 2005 to Apr 2, 2007 · Portland, Or
- D••• D••••••• • C•• to L•• F•••••••• L••left Oct 30, 2023, registered Oct 26, 2023 (-4 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to D••• D••••••• • C••left May 28, 2015, registered May 22, 2015 (-6 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- B••••••• R••• H••••• left D••• D••••••• • C•• for L•• F•••••••• L•• (registered 2023-10-26)Oct 30, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address