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.
T••• D•••••• M•••••••
- T••• N•••• R••••••••• A•••••••• L•• independent RIA currentsince Mar 7, 2022 · Clackamas, Or
- C••• B•••••••• S•••••••• I••• formerDec 18, 2015 to Feb 28, 2022 · Portland, Or
- K•• I••••••••• S••••••• L•• BD affiliatedOct 18, 2011 to Dec 15, 2015 · Troutdale, Or
- B••••••• I••••••••• S•••••••• I••• ••••• formerJan 31, 2011 to Apr 27, 2011 · Portland, Or
- M••••• S•••••• • C•• L•• unclassifiedFeb 28, 2008 to Jul 14, 2009 · New York, Ny
- C••• B•••••••• S•••••••• I••• to T••• N•••• R••••••••• A•••••••• L••left Feb 28, 2022, registered Mar 7, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
- K•• I••••••••• S••••••• L•• to C••• B•••••••• S•••••••• I•••left Dec 15, 2015, registered Dec 18, 2015 (3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to K•• I••••••••• S••••••• L••left Apr 27, 2011, registered Oct 18, 2011 (174 days) · Other
- M••••• S•••••• • C•• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 14, 2009, registered Jan 31, 2011 (566 days) · Other
- T••• D•••••• M••••••• left C••• B•••••••• S•••••••• I••• for T••• N•••• R••••••••• A•••••••• L•• (registered 2022-03-07)Feb 28, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address