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.
N••••••• M•••••• B••••
- E••••• J•••• national BD currentsince Sep 7, 2018 · Beaverton, Or
- L••••• F••••••••• I••• BD affiliatedJun 30, 2015 to Sep 4, 2018 · Portland, Or
- J•• C•••••• A•••••••• L•• formerApr 11, 2012 to Jun 15, 2015 · Portland, Or
- P•••••• I••••••••• C••••••• L•• formerAug 27, 2002 to Apr 11, 2012 · Portland, Or
- L••••• F••••••••• I••• to E••••• J••••left Sep 4, 2018, registered Sep 7, 2018 (3 days) · Affiliated broker-dealer or bank to another
- J•• C•••••• A•••••••• L•• to L••••• F••••••••• I•••left Jun 15, 2015, registered Jun 30, 2015 (15 days) · Other
- P•••••• I••••••••• C••••••• L•• to J•• C•••••• A•••••••• L••left Apr 11, 2012, registered Apr 11, 2012 (0 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address