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.
S•••• C••••••••• A••••
- R•••• F•••••••• G••••• L•• independent RIA currentsince Nov 11, 2024 · Tigard, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 27, 2018 to Oct 23, 2020 · Tigard, Or
- W•••• F•••• A••••••• wirehouseSep 1, 2017 to Sep 10, 2018 · Minneapolis, Mn
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 14, 2012 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedOct 23, 2009 to Jan 3, 2011 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseSep 10, 2007 to Oct 20, 2009 · Irvine, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 25, 2002 to Sep 12, 2007 · Santa Ana, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 3, 1999 to May 24, 2002 · Carmel, In
- F••••••• P••••••• A•• W•••••••• A••••••• to R•••• F•••••••• G••••• L••left Oct 23, 2020, registered Nov 11, 2024 (1480 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 10, 2018, registered Nov 27, 2018 (78 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Oct 20, 2009, registered Oct 23, 2009 (3 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Sep 12, 2007, registered Sep 10, 2007 (-2 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left May 24, 2002, registered Jul 25, 2002 (62 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address