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.
A•••••• G••••• J•••
- F••••••• P••••••• I••••••••• M••••••••• L•• asset manager currentsince Feb 2, 2015 · Seattle, Wa
- L•• F•••••••• L•• BD affiliatedJan 3, 2020 to Nov 19, 2021 · Tigard, Or
- S•••••••• F••••••••• I••• formerDec 6, 2017 to Jan 8, 2020 · Portland, Or
- R•••••• I••••••••• asset managerFeb 8, 2011 to Jan 23, 2015 · Seattle, Wa
- L•• F•••••••• L•• to no registered destinationleft Nov 19, 2021 · Departure, no registered destination
- S•••••••• F••••••••• I••• to L•• F•••••••• L••left Jan 8, 2020, registered Jan 3, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- R•••••• I••••••••• to F••••••• P••••••• I••••••••• M••••••••• L••left Jan 23, 2015, registered Feb 2, 2015 (10 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address