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.
F•••••••• A••••• S•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jun 3, 2015 · Portland, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 30, 2010 to May 22, 2015 · Portland, Or
- T• A••••••••• I••• formerAug 25, 2010 to May 22, 2015 · Portland, Or
- C•••• I••••••••• S••••••• C•••• formerAug 25, 2009 to Aug 4, 2010 · Portland, Or
- V••• F•••••••• P•••••••• L•• formerJul 23, 2008 to Apr 8, 2009 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 19, 2006 to Apr 7, 2008 · Portland, Or
- T• A••••••••• I••••••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left May 22, 2015, registered Jun 3, 2015 (12 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 22, 2015, registered Aug 30, 2010 (-1726 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left Aug 4, 2010, registered Aug 25, 2010 (21 days) · Other
- V••• F•••••••• P•••••••• L•• to C•••• I••••••••• S••••••• C••••left Apr 8, 2009, registered Aug 25, 2009 (139 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• F•••••••• P•••••••• L••left Apr 7, 2008, registered Jul 23, 2008 (107 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address