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••• G••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 22, 2013 · Los Angeles, Ca
- W•••• F•••• A••••••• wirehouseNov 29, 2011 to Jan 23, 2013 · Portland, Or
- D••• D••••••• • C•• independent RIAJul 7, 2009 to Nov 21, 2011 · Bend, Or
- W•••• F•••• I••••••••• L•• unclassifiedSep 12, 2003 to Jun 5, 2007 · Bend, Or
- W•••• F•••• I••••••••• L•• unclassifiedApr 16, 2003 to Apr 17, 2003 · Portland, Or
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 23, 2013, registered Jan 22, 2013 (-1 days) · Wirehouse to wirehouse
- D••• D••••••• • C•• to W•••• F•••• A•••••••left Nov 21, 2011, registered Nov 29, 2011 (8 days) · Other
- W•••• F•••• I••••••••• L•• to D••• D••••••• • C••left Jun 5, 2007, registered Jul 7, 2009 (763 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address