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.
J•••• P•••••• F••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 10, 2019 · Bend, Or
- U•• F•••••••• S••••••• I••• wirehouseNov 7, 2017 to Oct 21, 2019 · Bend, Or
- D••• D••••••• • C•• independent RIAJun 1, 2007 to Jul 15, 2011 · Bend, Or
- W•••• F•••• I••••••••• L•• unclassifiedJul 14, 2005 to Jun 1, 2007 · Bend, Or
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 21, 2019, registered Oct 10, 2019 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••• D••••••• • C•• to U•• F•••••••• S••••••• I•••left Jul 15, 2011, registered Nov 7, 2017 (2307 days) · Other
- W•••• F•••• I••••••••• L•• to D••• D••••••• • C••left Jun 1, 2007, registered Jun 1, 2007 (0 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address