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.
R••• S•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 3, 2025 · Henderson, Nv
- C••••••• W••••• A•••••••• L•• independent RIAMar 10, 2017 to Feb 11, 2025 · Salem, Or
- W•••• F•••• A••••••• wirehouseSep 28, 2012 to Mar 14, 2017 · Salem, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 22, 2004 to Oct 2, 2012 · Salem, Or
- W•••••• • R••• formerJul 25, 2002 to Apr 22, 2004 · Salem, Or
- C••••••• W••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Feb 11, 2025, registered Feb 3, 2025 (-8 days) · RIA to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to C••••••• W••••• A•••••••• L••left Mar 14, 2017, registered Mar 10, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 2, 2012, registered Sep 28, 2012 (-4 days) · Wirehouse to wirehouse
- W•••••• • R••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 22, 2004, registered Apr 22, 2004 (0 days) · Other
- R••• S••••••• left C••••••• W••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-02-03)Feb 11, 2025 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address