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.
S••••• M••••••
- W•••• F•••• A••••••• wirehouse currentsince May 29, 2026 · Vancouver, Wa
- J••• M••••• S••••••••• L•• wirehouseSep 16, 2020 to May 31, 2026 · Vancouver, Wa
- E•••••• C•••••• M••••••••• L•• formerOct 14, 2019 to Sep 11, 2020 · Portland, Or
- P•••••••• S••••••••• I••• BD affiliatedAug 23, 2019 to Sep 30, 2019 · Lake Oswego, Or
- F••••• I••••••••• independent RIAApr 24, 2018 to May 31, 2019 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2012 to Apr 3, 2018 · Kenmore, Wa
- M••••• S•••••• wirehouseMar 23, 2010 to Aug 26, 2011 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMay 22, 2008 to Nov 20, 2008 · New York, Ny
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left May 31, 2026, registered May 29, 2026 (-2 days) · Wirehouse to wirehouse
- E•••••• C•••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Sep 11, 2020, registered Sep 16, 2020 (5 days) · RIA to wirehouse
- P•••••••• S••••••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 30, 2019, registered Oct 14, 2019 (14 days) · Affiliated broker-dealer or bank to independent RIA
- F••••• I••••••••• to P•••••••• S••••••••• I•••left May 31, 2019, registered Aug 23, 2019 (84 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Apr 3, 2018, registered Apr 24, 2018 (21 days) · Wirehouse to independent RIA
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 26, 2011, registered Sep 6, 2012 (377 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Nov 20, 2008, registered Mar 23, 2010 (488 days) · Other
- S••••• M•••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2026-05-29)May 31, 2026 · 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address