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.
T•••••• M•••• D••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 29, 2017 · Columbus, Oh
- U••• B•••••• I••••••••• I••• formerOct 20, 2016 to Aug 15, 2017 · Portland, Or
- K•• F•••••••• S•••••••• I•• formerFeb 1, 2016 to Sep 26, 2016 · Portland, Or
- J••• M••••• S••••••••• L•• wirehouseSep 17, 2015 to Feb 9, 2016 · Wilsonville, Or
- W•••• F•••• A••••••• wirehouseOct 4, 2011 to Sep 3, 2015 · Portland, Or
- T••••••• I••••••••• M••••••••• I••• BD affiliatedOct 11, 2010 to Oct 5, 2011 · Houston, Tx
- W•••• F•••• A••••••• wirehouseJul 1, 2009 to Oct 8, 2010 · Houston, Tx
- T••••••• I••••••••• M••••••••• I••• BD affiliatedDec 18, 2008 to Jul 7, 2009 · Houston, Tx
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 15, 2017, registered Aug 29, 2017 (14 days) · Other
- K•• F•••••••• S•••••••• I•• to U••• B•••••• I••••••••• I•••left Sep 26, 2016, registered Oct 20, 2016 (24 days) · Other
- J••• M••••• S••••••••• L•• to K•• F•••••••• S•••••••• I••left Feb 9, 2016, registered Feb 1, 2016 (-8 days) · Other
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Sep 3, 2015, registered Sep 17, 2015 (14 days) · Wirehouse to wirehouse
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Oct 5, 2011, registered Oct 4, 2011 (-1 days) · Other
- W•••• F•••• A••••••• to T••••••• I••••••••• M••••••••• I•••left Oct 8, 2010, registered Oct 11, 2010 (3 days) · Other
- T••••••• I••••••••• M••••••••• I••• to W•••• F•••• A•••••••left Jul 7, 2009, registered Jul 1, 2009 (-6 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address