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.
L•••••• D•••• A••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Jun 3, 2019 · Eugene, Or
- U••• B•••••• I••••••••• I••• formerNov 27, 2012 to Jun 21, 2019 · Eugene, Or
- E••••• J•••• national BDFeb 1, 2007 to Dec 14, 2012 · Eugene, Or
- U••• B•••••• I••••••••• I••• to C••••••••• F•••••••• N••••••left Jun 21, 2019, registered Jun 3, 2019 (-18 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Dec 14, 2012, registered Nov 27, 2012 (-17 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address