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•••••• D•••••• G•••
- C••••••• A•••• M••••••••• L•• BD affiliated currentsince May 4, 2020 · Bainbridge Island, Wa
- D••• I••••••••• L•• formerJul 17, 2019 to May 4, 2020 · Lake Oswego, Or
- L•• F•••••••• L•• BD affiliatedJul 11, 2006 to Jan 4, 2007 · Oceanside, Ca
- T•••• S••••• S••••••••• I••• formerMay 30, 2006 to Jul 25, 2006 · Oceanside, Ca
- C••••••• I••••••••• S••••••• unclassifiedDec 1, 2004 to Dec 21, 2005 · Laguna Hills, Ca
- D••• I••••••••• L•• to C••••••• A•••• M••••••••• L••left May 4, 2020, registered May 4, 2020 (0 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to D••• I••••••••• L••left Jan 4, 2007, registered Jul 17, 2019 (4577 days) · Other
- T•••• S••••• S••••••••• I••• to L•• F•••••••• L••left Jul 25, 2006, registered Jul 11, 2006 (-14 days) · Other
- C••••••• I••••••••• S••••••• to T•••• S••••• S••••••••• I•••left Dec 21, 2005, registered May 30, 2006 (160 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address