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.
K•••• L• G••••••••
- E••••• J•••• national BD currentsince Apr 13, 2017 · Vancouver, Wa
- C••• F•••••••• S•••••••• L••• formerJul 15, 2016 to Apr 12, 2017 · Washougal, Wa
- M••••• S•••••• wirehouseJan 13, 2014 to Jul 22, 2016 · Portland, Or
- K•• F•••••••• S•••••••• I•• formerOct 18, 2012 to Dec 13, 2013 · Portland, Or
- M••••• S•••••• wirehouseSep 7, 2012 to Oct 5, 2012 · Portland, Or
- C••• F•••••••• S•••••••• L••• to E••••• J••••left Apr 12, 2017, registered Apr 13, 2017 (1 days) · Other
- M••••• S•••••• to C••• F•••••••• S•••••••• L•••left Jul 22, 2016, registered Jul 15, 2016 (-7 days) · Other
- K•• F•••••••• S•••••••• I•• to M••••• S••••••left Dec 13, 2013, registered Jan 13, 2014 (31 days) · Other
- M••••• S•••••• to K•• F•••••••• S•••••••• I••left Oct 5, 2012, registered Oct 18, 2012 (13 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address