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.
C••• H•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 6, 2012 · Bend, Or
- D•••• I••••••••• A•••••••• L•• formerAug 12, 2011 to Dec 3, 2011 · Scottsdale, Az
- C•••••• S••••• • C••• I••• national BDOct 29, 2009 to Aug 8, 2011 · Phoenix, Az
- M••••• S•••••• • C•• L•• unclassifiedApr 17, 2008 to Nov 20, 2008 · Eugene, Or
- D•••• I••••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 3, 2011, registered Feb 6, 2012 (65 days) · Other
- C•••••• S••••• • C••• I••• to D•••• I••••••••• A•••••••• L••left Aug 8, 2011, registered Aug 12, 2011 (4 days) · Affiliated broker-dealer or bank to a newly registered adviser
- M••••• S•••••• • C•• L•• to C•••••• S••••• • C••• I•••left Nov 20, 2008, registered Oct 29, 2009 (343 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address