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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 3, 2024 · Lake Oswego, Or
- C••••• I••••••••• A••••••• L•• BD affiliatedMar 8, 2023 to Oct 18, 2023 · Portland, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJun 2, 2016 to Mar 7, 2023 · Portland, Or
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Apr 3, 2024 (168 days) · corporate re-registration, not a move
- S•••••• P••••••• I••••••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Mar 7, 2023, registered Mar 8, 2023 (1 days) · RIA to affiliated broker-dealer or bank
- R••••• F•••••• S••••••••• left S•••••• P••••••• I••••••••• S••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-03-08)Mar 7, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address