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.
F••• D•••• L•••••••••
- L••••••••• F•••••••• S••••••• I•• independent RIA currentsince Nov 16, 2010 · Roseburg, Or
- L•• F•••••••• L•• BD affiliatedFeb 9, 2009 to Sep 13, 2010 · Roseburg, Or
- W•••• F•••• I••••••••• L•• unclassifiedSep 30, 2008 to Jan 20, 2009 · Roseburg, Or
- L•• F•••••••• L•• BD affiliatedOct 28, 2005 to Oct 3, 2008 · Florence, Or
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJun 15, 2004 to Nov 3, 2005 · Florence, Or
- C••••• A•••••• N••••••• L•• formerJul 23, 2002 to Jun 1, 2004 · Roseburg, Or
- G••••••••• C••••••• L•• unclassifiedJun 25, 2002 to Jun 1, 2004 · Roseburg, Or
- L•• F•••••••• L•• to L••••••••• F•••••••• S••••••• I••left Sep 13, 2010, registered Nov 16, 2010 (64 days) · Other
- W•••• F•••• I••••••••• L•• to L•• F•••••••• L••left Jan 20, 2009, registered Feb 9, 2009 (20 days) · Other
- L•• F•••••••• L•• to W•••• F•••• I••••••••• L••left Oct 3, 2008, registered Sep 30, 2008 (-3 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Nov 3, 2005, registered Oct 28, 2005 (-6 days) · Other
- G••••••••• C••••••• L•• to C••••• A•••••• N••••••• L••left Jun 1, 2004, registered Jul 23, 2002 (-679 days) · Other
- C••••• A•••••• N••••••• L•• to U•••• F•••••••• S••••••• G••••• I•••left Jun 1, 2004, registered Jun 15, 2004 (14 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address