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••• R•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 10, 2017 · Portland, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerOct 22, 2010 to Feb 15, 2017 · Portland, Or
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 8, 2003 to Mar 6, 2009 · Portland, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 15, 2017, registered Mar 10, 2017 (23 days) · Other · moved with a team
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••• P••••••• I••••••••• S••••••••• L••left Mar 6, 2009, registered Oct 22, 2010 (595 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