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••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 27, 2016 · Portland, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerSep 8, 2015 to Jan 5, 2016 · Portland, Or
- L•• F•••••••• L•• BD affiliatedAug 1, 2012 to Sep 9, 2015 · Klamath Falls, Or
- M••••• S•••••• wirehouseDec 6, 2010 to Mar 20, 2012 · Medford, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• to J••• M••••• S••••••••• L••left Jan 5, 2016, registered Jan 27, 2016 (22 days) · Other
- L•• F•••••••• L•• to S•••••• P••••••• I••••••••• S••••••••• L••left Sep 9, 2015, registered Sep 8, 2015 (-1 days) · Other · moved with a team
- M••••• S•••••• to L•• F•••••••• L••left Mar 20, 2012, registered Aug 1, 2012 (134 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address