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.
C•••• T••••• W•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 14, 2024 · Montgomery, Tx
- W•••• F•••• A••••••• wirehouseJun 19, 2012 to Mar 20, 2024 · Portland, Or
- D••• D••••••• • C•• independent RIAAug 19, 2008 to Jun 20, 2012 · Coeur D'Alene, Id
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 20, 2024, registered Mar 14, 2024 (-6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••• D••••••• • C•• to W•••• F•••• A•••••••left Jun 20, 2012, registered Jun 19, 2012 (-1 days) · Other
- C•••• T••••• W••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-03-14)Mar 20, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address