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.
E••• R•••• L••••••
- D••• D••••••• • C•• independent RIA currentsince Aug 2, 2023 · Bend, Or
- A••••••••• F•••••••• S•••••••• L•• national BDJan 10, 2022 to Jul 24, 2023 · Calabasas, Ca
- E•••• S••••••••• L•• BD affiliatedSep 15, 2021 to Jan 4, 2022 · Kennewick, Wa
- A••••••••• F•••••••• S•••••••• L•• to D••• D••••••• • C••left Jul 24, 2023, registered Aug 2, 2023 (9 days) · Affiliated broker-dealer or bank to independent RIA
- E•••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 4, 2022, registered Jan 10, 2022 (6 days) · Affiliated broker-dealer or bank to another
- E••• R•••• L•••••• left A••••••••• F•••••••• S•••••••• L•• for D••• D••••••• • C•• (registered 2023-08-02)Jul 24, 2023 · Advisor changed firm · fact
- E••• R•••• L•••••• left E•••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-01-10)Jan 4, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address