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.
N••••• L•• P••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 30, 2018 · Lake Oswego, Or
- H•••••• T••••••• • K•••• L•• independent RIAMay 13, 2013 to May 8, 2018 · Lake Oswego, Or
- P••• A••••• S••••••••• L•• BD affiliatedOct 8, 2009 to Nov 5, 2012 · Portland, Or
- N••••••••• S••••••••• L•• no RAUMAug 1, 2008 to Mar 11, 2009 · Columbus, Oh
- 1••• C•••••• M••••••••• C•••••• unclassifiedDec 5, 2005 to Aug 1, 2008 · Portland, Or
- S••••••• I••••••••• I••• formerMay 19, 2005 to Nov 22, 2005 · Portland, Or
- E•••••••• A•••••••• L•• national BDSep 3, 2003 to Dec 4, 2003 · Portland, Or
- H•••••• T••••••• • K•••• L•• to M•• I•••••••• S•••••••• L••left May 8, 2018, registered Aug 30, 2018 (114 days) · Affiliated broker-dealer or bank to another
- P••• A••••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Nov 5, 2012, registered May 13, 2013 (189 days) · Other
- N••••••••• S••••••••• L•• to P••• A••••• S••••••••• L••left Mar 11, 2009, registered Oct 8, 2009 (211 days) · Other
- 1••• C•••••• M••••••••• C•••••• to N••••••••• S••••••••• L••left Aug 1, 2008, registered Aug 1, 2008 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to 1••• C•••••• M••••••••• C••••••left Nov 22, 2005, registered Dec 5, 2005 (13 days) · Other
- E•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left Dec 4, 2003, registered May 19, 2005 (532 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