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••••• L•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tigard, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 14, 2022 to Mar 31, 2025 · Tigard, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerOct 24, 2018 to Mar 31, 2021 · Portland, Or
- A••••••••• F•••••••• S•••••••• L•• national BDSep 14, 2016 to May 14, 2018 · Lake Oswego, Or
- K•• I••••••••• S••••••• L•• BD affiliatedSep 15, 2015 to Aug 15, 2016 · Vancouver, Wa
- W•••• F•••• A••••••• wirehouseFeb 22, 2013 to Sep 16, 2015 · Lake Oswego, Or
- G•• A••••••• formerAug 2, 2012 to Nov 9, 2012 · Tigard, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJul 17, 2007 to Oct 3, 2011 · Portland, Or
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••• P••••••• I••••••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 31, 2021, registered Jan 14, 2022 (289 days) · RIA to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to S•••••• P••••••• I••••••••• S••••••••• L••left May 14, 2018, registered Oct 24, 2018 (163 days) · Affiliated broker-dealer or bank to independent RIA
- K•• I••••••••• S••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 15, 2016, registered Sep 14, 2016 (30 days) · Other
- W•••• F•••• A••••••• to K•• I••••••••• S••••••• L••left Sep 16, 2015, registered Sep 15, 2015 (-1 days) · Other
- G•• A••••••• to W•••• F•••• A•••••••left Nov 9, 2012, registered Feb 22, 2013 (105 days) · Other
- S•••••• P••••••• I••••••••• S••••••••• L•• to G•• A•••••••left Oct 3, 2011, registered Aug 2, 2012 (304 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