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.
M••• T••••• M••••••
- M•••••• T•• A•• F•••••••• P••••••• L•• state registered currentsince Oct 9, 2020 · Statesville, Nc
- L•••••••• W••••• L•• state registeredOct 6, 2022 to Apr 24, 2023 · West Linn, Or
- C••••• A••••••• L•• formerSep 25, 2017 to Oct 1, 2020 · Milwaukie, Or
- I••••• F•••••••• C••••••••• formerNov 14, 2016 to Sep 22, 2017 · Milwaukie, Or
- C••• F•••••••• S•••••••• L••• formerOct 21, 2014 to Oct 27, 2016 · Milwaukie, Or
- O•••• W•••••• I••• BD affiliatedJan 7, 2014 to Sep 26, 2014 · Portland, Or
- F•• S••••••••• C••••••••• formerSep 5, 2013 to Oct 30, 2013 · Atlanta, Ga
- F•• S••••••••• C••••••••• formerFeb 27, 2009 to Jun 13, 2013 · China Grove, Nc
- A•••••••• C•••••• C••••••••• unclassifiedApr 15, 2002 to Feb 27, 2009 · China Grove, Nc
- L•••••••• W••••• L•• to no registered destinationleft Apr 24, 2023 · Departure, no registered destination
- C••••• A••••••• L•• to M•••••• T•• A•• F•••••••• P••••••• L••left Oct 1, 2020, registered Oct 9, 2020 (8 days) · Affiliated broker-dealer or bank to a state-registered adviser
- I••••• F•••••••• C••••••••• to C••••• A••••••• L••left Sep 22, 2017, registered Sep 25, 2017 (3 days) · Other
- C••• F•••••••• S•••••••• L••• to I••••• F•••••••• C•••••••••left Oct 27, 2016, registered Nov 14, 2016 (18 days) · Other
- O•••• W•••••• I••• to C••• F•••••••• S•••••••• L•••left Sep 26, 2014, registered Oct 21, 2014 (25 days) · Other
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Oct 30, 2013, registered Jan 7, 2014 (69 days) · Other
- A•••••••• C•••••• C••••••••• to F•• S••••••••• C•••••••••left Feb 27, 2009, registered Feb 27, 2009 (0 days) · corporate re-registration, not a move
- M••• T••••• M•••••• no longer registered at L•••••••• W••••• L••; no later IA registration on IAPDApr 24, 2023 · Advisor departure · 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
- STATE REGISTEREDderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address