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•••• M•••••• D••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 12, 2018 · Lake Oswego, Or
- T• A••••••••• I••• formerMay 14, 2018 to Jun 1, 2018 · Salem, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 1, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerApr 19, 2017 to Feb 26, 2018 · Saint Louis, Mo
- E•••••• C•••••• M••••••••• L•• formerDec 19, 2012 to Oct 7, 2015 · Portland, Or
- A••••••• E•••••••• I••• formerAug 3, 2011 to Jul 3, 2012 · San Francisco, Ca
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 1, 2018, registered May 14, 2018 (-18 days) · corporate re-registration, not a move
- T• A••••••••• I••• to U•• F•••••••• S••••••• I•••left Jun 1, 2018, registered Jul 12, 2018 (41 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Oct 7, 2015, registered Apr 19, 2017 (560 days) · Other
- A••••••• E•••••••• I••• to E•••••• C•••••• M••••••••• L••left Jul 3, 2012, registered Dec 19, 2012 (169 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address