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.
- M•••••• BD affiliated currentsince Jan 3, 2022 · Tigard, Or
- C••••••• A••••••• S•••••••• L•• formerAug 27, 2019 to Jan 28, 2022 · Portland, Or
- C••••• A••••••• L•• formerFeb 28, 2012 to Feb 11, 2020 · Greenwood Village, Co
- P•••••• W••• F•••••••• C••••••••• I•• formerMar 27, 2009 to Feb 28, 2012 · Renton, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedFeb 27, 2006 to Mar 12, 2009 · Portland, Or
- C••••••• A••••••• S•••••••• L•• to M••••••left Jan 28, 2022, registered Jan 3, 2022 (-25 days) · RIA to affiliated broker-dealer or bank · moved with a team
- C••••• A••••••• L•• to C••••••• A••••••• S•••••••• L••left Feb 11, 2020, registered Aug 27, 2019 (-168 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Mar 12, 2009, registered Mar 27, 2009 (15 days) · Other
- P••• R•••••• E••••••• left C••••••• A••••••• S•••••••• L•• for Mariner (registered 2022-01-03)Jan 28, 2022 · 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