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•••••• A••• J••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 18, 2013 · Portland, Or
- 1•• G••••• A••••••• I•• formerFeb 3, 2012 to Feb 8, 2013 · Eugene, Or
- M••••• S•••••• wirehouseMay 9, 2011 to Oct 10, 2011 · Portland, Or
- R•••••• J•••• • A••••••••• I••• national BDApr 14, 2009 to Feb 3, 2011 · Walnut Creek, Ca
- 1•• G••••• A••••••• I•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 8, 2013, registered Mar 18, 2013 (38 days) · Other
- M••••• S•••••• to 1•• G••••• A••••••• I••left Oct 10, 2011, registered Feb 3, 2012 (116 days) · Other
- R•••••• J•••• • A••••••••• I••• to M••••• S••••••left Feb 3, 2011, registered May 9, 2011 (95 days) · Affiliated broker-dealer or bank to wirehouse
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