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•••• A•••• D•••••••
- C•••••• S••••• • C••• I••• national BD currentsince May 23, 2022 · Vancouver, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 7, 2022 to Sep 7, 2023 · Portland, Or
- T• A••••••••• I••• formerMar 7, 2022 to Oct 14, 2022 · Portland, Or
- J••• H•••••• I••••••••• M••••••••• L•• asset managerOct 13, 2006 to Apr 25, 2007 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerOct 13, 2006 to Apr 26, 2007 · Boston, Ma
- C••••• C••••••• L•• formerJan 1, 2005 to Aug 14, 2006 · Denver, Co
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered May 23, 2022 (-472 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Mar 7, 2022 (-221 days) · corporate re-registration, not a move
- M••••••• I••••••••• M••••••••• ••• L•• to T• A••••••••• I•••left Apr 26, 2007, registered Mar 7, 2022 (5429 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Apr 25, 2007, registered Oct 13, 2006 (-194 days) · Other
- C••••• C••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Aug 14, 2006, registered Oct 13, 2006 (60 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address