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.
S••••• E••• E•••••••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince May 13, 2020 · West Linn, Or
- I••••••••• A••••• I••••••••• M••••••••• L•• BD affiliatedJan 10, 2019 to May 11, 2020 · Vancouver, Wa
- L•• F•••••••• L•• BD affiliatedApr 23, 2012 to Feb 14, 2019 · Vancouver, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to May 17, 2012 · Vancouver, Wa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Vancouver, Wa
- M••••• S•••••• D• I••• unclassifiedJan 27, 2006 to Apr 2, 2007 · Vancouver, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 19, 2003 to Feb 10, 2006 · Portland, Or
- I••••••••• A••••• I••••••••• M••••••••• L•• to C••••••• A•••• M••••••••• L••left May 11, 2020, registered May 13, 2020 (2 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to I••••••••• A••••• I••••••••• M••••••••• L••left Feb 14, 2019, registered Jan 10, 2019 (-35 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to L•• F•••••••• L••left May 17, 2012, registered Apr 23, 2012 (-24 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Feb 10, 2006, registered Jan 27, 2006 (-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
- 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