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.
J•••• S•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Tigard, Or
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 1, 2020 to Mar 31, 2025 · Tigard, Or
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 19, 2020 to May 13, 2020 · Portland, Or
- T• A••••••••• I••• formerMar 19, 2020 to May 13, 2020 · Portland, Or
- H•••••• T••••••• • K•••• L•• independent RIADec 23, 2015 to Mar 3, 2020 · Lake Oswego, Or
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 13, 2020, registered Jul 1, 2020 (49 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 13, 2020, registered Mar 19, 2020 (-55 days) · channel change inside one enterprise, not a move
- H•••••• T••••••• • K•••• L•• to T• A••••••••• I•••left Mar 3, 2020, registered Mar 19, 2020 (16 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address