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.
R••• J•••••• W•••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Sep 7, 2018 · Bend, Or
- F••••• I••••••••• independent RIAOct 5, 2010 to Dec 24, 2015 · Camas, Wa
- E•••• S••••••••• L•• BD affiliatedFeb 8, 2010 to Sep 22, 2010 · Sandy, Ut
- T•• M••••• F••• S•••• formerJun 12, 2008 to Oct 7, 2009 · Albuquerque, Nm
- A••• A•••• M••••••••• L•• unclassifiedSep 20, 2007 to Jun 16, 2008 · Mesquite, Nv
- F••••• I••••••••• to S•••• F••• I••••••••• M••••••••• C••••left Dec 24, 2015, registered Sep 7, 2018 (988 days) · Other
- E•••• S••••••••• L•• to F••••• I•••••••••left Sep 22, 2010, registered Oct 5, 2010 (13 days) · Other
- T•• M••••• F••• S•••• to E•••• S••••••••• L••left Oct 7, 2009, registered Feb 8, 2010 (124 days) · Other
- A••• A•••• M••••••••• L•• to T•• M••••• F••• S••••left Jun 16, 2008, registered Jun 12, 2008 (-4 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address