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.
E••• W••••• T•••••
- C•••••• C•••••• M••••••••• L•• state registered currentsince Mar 19, 2021 · Tigard, Or
- A••••••••• F•••••••• S•••••••• L•• national BDNov 5, 2019 to Mar 9, 2021 · Lake Oswego, Or
- M• H••••••• S••••••••• I••• BD affiliatedMar 6, 2012 to Oct 7, 2019 · Portland, Or
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 3, 2011 to Oct 19, 2011 · Gansevoort, Ny
- V••• F•••••••• P•••••••• L•• formerJul 15, 2009 to Jan 3, 2011 · Gansevoort, Ny
- A••••••••• F•••••••• S•••••••• L•• to C•••••• C•••••• M••••••••• L••left Mar 9, 2021, registered Mar 19, 2021 (10 days) · Affiliated broker-dealer or bank to a state-registered adviser
- M• H••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 7, 2019, registered Nov 5, 2019 (29 days) · Affiliated broker-dealer or bank to another
- V••• F•••••••• A•••••••• I••• to M• H••••••• S••••••••• I•••left Oct 19, 2011, registered Mar 6, 2012 (139 days) · Other
- V••• F•••••••• P•••••••• L•• to V••• F•••••••• A•••••••• I•••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address