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••••• J••• W•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 28, 2024 · Bend, Or
- O• I••••••••• M••••••••• C• BD affiliatedNov 19, 2020 to Mar 26, 2024 · Bend, Or
- M•• I•••••••• S•••••••• L•• BD affiliatedDec 1, 2016 to Nov 25, 2020 · Bend, Or
- O• I••••••••• M••••••••• C• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 26, 2024, registered Mar 28, 2024 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• I•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Nov 25, 2020, registered Nov 19, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- S••••• J••• W••• left O• I••••••••• M••••••••• C• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-03-28)Mar 26, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address