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.
B••••• A•••• P•••••••
- E••••• J•••• national BD currentsince Jan 28, 2016 · Washougal, Wa
- M••••• S•••••• wirehouseMay 25, 2012 to Jan 20, 2016 · Vancouver, Wa
- C••••• I••••••••• S••••••• L•• formerJan 5, 2007 to Apr 30, 2012 · Vancouver, Wa
- W•••••• • R••• formerApr 23, 2004 to Jan 8, 2007 · Vancouver, Wa
- M••••• S•••••• to E••••• J••••left Jan 20, 2016, registered Jan 28, 2016 (8 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• I••••••••• S••••••• L•• to M••••• S••••••left Apr 30, 2012, registered May 25, 2012 (25 days) · Other
- W•••••• • R••• to C••••• I••••••••• S••••••• L••left Jan 8, 2007, registered Jan 5, 2007 (-3 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address