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.
- C•••• W••••• M••••••••• independent RIA currentsince Jan 14, 2022 · Bend, Or
- A•••• P•••• A••••••• formerNov 6, 2020 to Dec 31, 2021 · Bend, Or
- K•• F•••••••• S•••••••• I•• formerAug 4, 2011 to Nov 6, 2020 · Bend, Or
- L•• F•••••••• L•• BD affiliatedNov 13, 2009 to Jul 5, 2011 · Bend, Or
- C•••••• S••••• • C••• I••• national BDJun 20, 2008 to Nov 25, 2009 · Bend, Or
- A•••• P•••• A••••••• to C•••• W••••• M•••••••••left Dec 31, 2021, registered Jan 14, 2022 (14 days) · Affiliated broker-dealer or bank to independent RIA
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- L•• F•••••••• L•• to K•• F•••••••• S•••••••• I••left Jul 5, 2011, registered Aug 4, 2011 (30 days) · Other
- C•••••• S••••• • C••• I••• to L•• F•••••••• L••left Nov 25, 2009, registered Nov 13, 2009 (-12 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