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•••••••• C•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 24, 2017 · Seattle, Wa
- S•••••• P••••••• I••••••••• S••••••••• L•• formerSep 8, 2015 to Feb 15, 2017 · Portland, Or
- L•• F•••••••• L•• BD affiliatedJun 21, 2011 to Sep 9, 2015 · Portland, Or
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to May 19, 2011 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedMar 15, 2010 to Jan 3, 2011 · Portland, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 15, 2017, registered Feb 24, 2017 (9 days) · Other · moved with a team
- L•• F•••••••• L•• to S•••••• P••••••• I••••••••• S••••••••• L••left Sep 9, 2015, registered Sep 8, 2015 (-1 days) · Other · moved with a team
- W•••• F•••• A••••••• to L•• F•••••••• L••left May 19, 2011, registered Jun 21, 2011 (33 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address