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.
D•••• R••••• T•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 3, 2020 · Vancouver, Wa
- A• W••••• M••••••••• L•• BD affiliatedJun 4, 2019 to Aug 10, 2020 · Portland, Or
- M•••••• A••••• S••••••••• L•• BD affiliatedJul 7, 2015 to Aug 3, 2020 · Vancouver, Wa
- E••••• J•••• national BDOct 29, 2008 to Feb 1, 2012 · Vancouver, Wa
- A• W••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 10, 2020, registered Aug 3, 2020 (-7 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• A••••• S••••••••• L•• to A• W••••• M••••••••• L••left Aug 3, 2020, registered Jun 4, 2019 (-426 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- E••••• J•••• to M•••••• A••••• S••••••••• L••left Feb 1, 2012, registered Jul 7, 2015 (1252 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address