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.
T•••• J• O•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 1, 2023 · Lake Oswego, Or
- C•• F•••••••• S••••••• independent RIANov 30, 2015 to Jun 5, 2023 · Lake Oswego, Or
- E•••••• W••••• A•••••••• I••• independent RIASep 26, 2014 to May 5, 2015 · Lake Oswego, Or
- C•• F•••••••• S••••••• to L•• F•••••••• L••left Jun 5, 2023, registered Jun 1, 2023 (-4 days) · RIA to affiliated broker-dealer or bank
- E•••••• W••••• A•••••••• I••• to C•• F•••••••• S•••••••left May 5, 2015, registered Nov 30, 2015 (209 days) · Other
- T•••• J• O••••• left C•• F•••••••• S••••••• for L•• F•••••••• L•• (registered 2023-06-01)Jun 5, 2023 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address