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.
D•••• M•••••• M••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 1, 2021 · Hillsboro, Or
- C••••• I••••••••• A••••••• L•• BD affiliatedJun 15, 2020 to Dec 21, 2020 · Portland, Or
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Mar 20, 2020 · Portland, Or
- C••••• I••••••••• S••••••• L•• formerFeb 26, 2013 to Jan 21, 2014 · Portland, Or
- L•• F•••••••• L•• BD affiliatedMay 17, 2011 to Jan 8, 2013 · Springfield, Or
- F•••••••• L•• formerSep 1, 2006 to May 20, 2011 · Santa Rosa, Ca
- O•••• F•• I••• formerSep 7, 2005 to Apr 11, 2006 · Portland, Or
- A••••••••• A•••••• S•••••••• I••• unclassifiedApr 8, 2005 to Aug 10, 2005 · Tigard, Or
- W•••• F•••• I••••••••• L•• unclassifiedFeb 11, 2003 to Apr 9, 2004 · Portland, Or
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Dec 21, 2020, registered Apr 1, 2021 (101 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Jan 8, 2013, registered Feb 26, 2013 (49 days) · Other
- F•••••••• L•• to L•• F•••••••• L••left May 20, 2011, registered May 17, 2011 (-3 days) · Other
- O•••• F•• I••• to F•••••••• L••left Apr 11, 2006, registered Sep 1, 2006 (143 days) · Other
- A••••••••• A•••••• S•••••••• I••• to O•••• F•• I•••left Aug 10, 2005, registered Sep 7, 2005 (28 days) · Other
- W•••• F•••• I••••••••• L•• to A••••••••• A•••••• S•••••••• I•••left Apr 9, 2004, registered Apr 8, 2005 (364 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address