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.
M•••••• S•••• A••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 9, 2025 · Oregon City, Or
- O•••• W•••••• I••• BD affiliatedFeb 25, 2025 to May 20, 2025 · Vancouver, Wa
- O•••• F•• I••• formerAug 10, 2016 to May 8, 2024 · Irving, Tx
- P•••• S••••••••• L•• no RAUMMay 3, 2016 to Jul 18, 2016 · Plano, Tx
- O•••• W•••••• I••• to W•••• F•••• A•••••••left May 20, 2025, registered Jun 9, 2025 (20 days) · Affiliated broker-dealer or bank to wirehouse
- O•••• F•• I••• to O•••• W•••••• I•••left May 8, 2024, registered Feb 25, 2025 (293 days) · channel change inside one enterprise, not a move
- P•••• S••••••••• L•• to O•••• F•• I•••left Jul 18, 2016, registered Aug 10, 2016 (23 days) · Other
- M•••••• S•••• A•••• left O•••• W•••••• I••• for W•••• F•••• A••••••• (registered 2025-06-09)May 20, 2025 · Advisor changed firm · fact
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address