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.
T••••••• C••••• J••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Boise, Id
- T• A••••••••• I••• formerFeb 27, 2018 to Oct 14, 2022 · Boise, Id
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 7, 2023 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 30, 2017 to Feb 26, 2018 · Saint Louis, Mo
- E•••••• C•••••• M••••••••• L•• formerApr 4, 2012 to Jun 29, 2016 · Portland, Or
- W•••••• • R••• formerJan 12, 2011 to Apr 5, 2012 · Lake Oswego, Or
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 10, 2010 · Everett, Wa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 23, 2007 to Jan 2, 2009 · Poulsbo, Wa
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 7, 2023, registered Feb 27, 2018 (-2018 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 14, 2022, registered Jan 26, 2022 (-261 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Jun 29, 2016, registered Jan 30, 2017 (215 days) · Other
- W•••••• • R••• to E•••••• C•••••• M••••••••• L••left Apr 5, 2012, registered Apr 4, 2012 (-1 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••••• • R•••left Sep 10, 2010, registered Jan 12, 2011 (124 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
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