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.
D•••• M•••••• B•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 15, 2024 · Salem, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerAug 10, 2017 to Mar 7, 2023 · Portland, Or
- B••••••• I••••••••• S•••••••• I••• ••••• formerJun 19, 2012 to Aug 11, 2017 · Portland, Or
- I•• C•••••• M••••••••• formerMay 12, 2011 to Jun 19, 2012 · Clackamas, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 10, 2011 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedDec 20, 2006 to Jan 3, 2011 · Newberg, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 7, 2023, registered May 15, 2024 (435 days) · RIA to affiliated broker-dealer or bank
- B••••••• I••••••••• S•••••••• I••• ••••• to S•••••• P••••••• I••••••••• S••••••••• L••left Aug 11, 2017, registered Aug 10, 2017 (-1 days) · Other
- I•• C•••••• M••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jun 19, 2012, registered Jun 19, 2012 (0 days) · Other
- W•••• F•••• A••••••• to I•• C•••••• M•••••••••left May 10, 2011, registered May 12, 2011 (2 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- D•••• M•••••• B••• left S•••••• P••••••• I••••••••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2024-05-15)Mar 7, 2023 · Advisor changed firm · fact
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address