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.
J•••• H• C•••••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Portland, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 15, 2013 to Jul 13, 2018 · Tigard, Or
- D••• D••••••• • C•• independent RIAJan 31, 2012 to Nov 5, 2012 · Portland, Or
- T• A••••••••• I••• formerJun 13, 2006 to Dec 15, 2006 · Portland, Or
- A••••••••• A••••••• S••••••• L•• unclassifiedMay 19, 2005 to Dec 14, 2005 · Portland, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 2, 2005 to Dec 15, 2006 · Portland, Or
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to S•••••••• A••••••• L••left Nov 5, 2012, registered Apr 15, 2013 (161 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to A••••••••• A••••••• S••••••• L••left Dec 15, 2006, registered May 19, 2005 (-575 days) · Other
- T• A••••••••• I••• to D••• D••••••• • C••left Dec 15, 2006, registered Jan 31, 2012 (1873 days) · Other
- A••••••••• A••••••• S••••••• L•• to T• A••••••••• I•••left Dec 14, 2005, registered Jun 13, 2006 (181 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address