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•••••• L••• S•••••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Dec 21, 2021 · Lake Oswego, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 8, 2015 to Nov 18, 2019 · Portland, Or
- W•••• F•••• A••••••• wirehouseAug 8, 2013 to Jan 9, 2015 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•••• F••• A••••••• S•••••••left Nov 18, 2019, registered Dec 21, 2021 (764 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 9, 2015, registered Jan 8, 2015 (-1 days) · Wirehouse to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address