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.
L•••• L• C••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jan 24, 2023 · New York, Ny
- P•••••••• S••••••••• I••• BD affiliatedNov 14, 2011 to Jan 31, 2023 · Lake Oswego, Or
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Nov 3, 2011 · Portland, Or
- V••• F•••••••• P•••••••• L•• formerApr 24, 2003 to Jan 3, 2011 · Portland, Or
- P•••••••• S••••••••• I••• to P••• A••••• S••••••••• L••left Jan 31, 2023, registered Jan 24, 2023 (-7 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Nov 3, 2011, registered Nov 14, 2011 (11 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- L•••• L• C•••• left P•••••••• S••••••••• I••• for P••• A••••• S••••••••• L•• (registered 2023-01-24)Jan 31, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address