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.
B••••• C••••••••• B••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 11, 2023 · Battle Ground, Wa
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Aug 22, 2023 · Battle Ground, Wa
- C••• B•••••••• S•••••••• I••• formerFeb 6, 2019 to May 18, 2022 · Battle Ground, Wa
- E•••••••• I••••••••• S•••••••• L•• state registeredMay 6, 2014 to Mar 14, 2018 · Lake Oswego, Or
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 21, 2014 to Apr 28, 2014 · Lake Oswego, Or
- L•• F•••••••• L•• to M•• I•••••••• S•••••••• L••left Aug 22, 2023, registered Aug 11, 2023 (-11 days) · Affiliated broker-dealer or bank to another
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- E•••••••• I••••••••• S•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 14, 2018, registered Feb 6, 2019 (329 days) · Other
- I••••••••• F•••••••• G••••• L•• to E•••••••• I••••••••• S•••••••• L••left Apr 28, 2014, registered May 6, 2014 (8 days) · Other
- B••••• C••••••••• B•••••• left L•• F•••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-08-11)Aug 22, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address