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•••• E••••• M•••••••
- S•••••• W••••• P•••••••• L•• BD affiliated currentsince Apr 2, 2025 · Bend, Or
- F•••••••• A•••••••• I••••••••• M••••••••• formerNov 6, 2020 to Apr 30, 2025 · Bend, Or
- L•• F•••••••• L•• BD affiliatedJan 16, 2018 to Oct 8, 2020 · Bend, Or
- M•••••• A•••••• N•••••• BD affiliatedJul 15, 2016 to Nov 3, 2020 · Bend, Or
- S•••••••• W••••• A••••••• G•••• formerJun 17, 2015 to Jul 7, 2016 · Bend, Or
- E••••• J•••• national BDMay 5, 2009 to Jun 12, 2015 · St Louis, Mo
- F•••••••• A•••••••• I••••••••• M••••••••• to S•••••• W••••• P•••••••• L••left Apr 30, 2025, registered Apr 2, 2025 (-28 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• A•••••• N•••••• to L•• F•••••••• L••left Nov 3, 2020, registered Jan 16, 2018 (-1022 days) · RIA to RIA
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Oct 8, 2020, registered Nov 6, 2020 (29 days) · Affiliated broker-dealer or bank to independent RIA
- S•••••••• W••••• A••••••• G•••• to M•••••• A•••••• N••••••left Jul 7, 2016, registered Jul 15, 2016 (8 days) · corporate re-registration, not a move
- E••••• J•••• to S•••••••• W••••• A••••••• G••••left Jun 12, 2015, registered Jun 17, 2015 (5 days) · Other
- T•••• E••••• M••••••• left F•••••••• A•••••••• I••••••••• M••••••••• for S•••••• W••••• P•••••••• L•• (registered 2025-04-02)Apr 30, 2025 · a•••••• firm change · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address