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.
P•••• W•••••• S•••••••••
- R•• C•••••• M••••••• L•• national BD currentsince Sep 17, 2015 · Lake Oswego, Or
- D••• D••••••• • C•• independent RIAAug 1, 2008 to Sep 18, 2015 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 18, 2005 to Aug 14, 2008 · Lake Oswego, Or
- D••• D••••••• • C•• to R•• C•••••• M••••••• L••left Sep 18, 2015, registered Sep 17, 2015 (-1 days) · Other
- C•••••••• G••••• M•••••• I••• to D••• D••••••• • C••left Aug 14, 2008, registered Aug 1, 2008 (-13 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