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.
- M••••• S•••••• wirehouse currentsince Sep 20, 2022 · Salem, Or
- C•••••••• W••••• A•••••••• L•• formerSep 22, 2021 to Sep 7, 2022 · Salem, Or
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Apr 6, 2021 · Lake Oswego, Or
- K•• F•••••••• S•••••••• I•• formerSep 14, 2020 to Nov 6, 2020 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseApr 8, 2011 to Sep 16, 2020 · Salem, Or
- C•••••••• W••••• A•••••••• L•• to M••••• S••••••left Sep 7, 2022, registered Sep 20, 2022 (13 days) · RIA to wirehouse
- S••••••••• A•••••• A•••••••• I••• to C•••••••• W••••• A•••••••• L••left Apr 6, 2021, registered Sep 22, 2021 (169 days) · Affiliated broker-dealer or bank to independent RIA
- K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to K•• F•••••••• S•••••••• I••left Sep 16, 2020, registered Sep 14, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- D•••••• J• D•••••••• left C•••••••• W••••• A•••••••• L•• for M••••• S•••••• (registered 2022-09-20)Sep 7, 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address