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.
W••••• B•• H•••
- L••••••••• F•••••••• S••••••• I•• independent RIA currentsince Sep 6, 2018 · Salem, Or
- C•••••••• F••••••••• I••• BD affiliatedMay 24, 2013 to Aug 31, 2018 · Anaheim, Ca
- C••••• A••••••• L•• formerFeb 28, 2012 to May 24, 2013 · Greenwood Village, Co
- P•••••• W••• F•••••••• C••••••••• I•• formerApr 14, 2010 to Feb 28, 2012 · Renton, Wa
- C•••••••• F••••••••• I••• to L••••••••• F•••••••• S••••••• I••left Aug 31, 2018, registered Sep 6, 2018 (6 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A••••••• L•• to C•••••••• F••••••••• I•••left May 24, 2013, registered May 24, 2013 (0 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address