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••••• C•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 10, 2024 · Sherwood, Or
- U••• B•••••• I••••••••• I••• formerSep 5, 2023 to Dec 20, 2023 · Lake Oswego, Or
- J••• M••••• S••••••••• L•• wirehouseJun 18, 2021 to Aug 22, 2023 · Sherwood, Or
- U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Dec 20, 2023, registered Jan 10, 2024 (21 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 22, 2023, registered Sep 5, 2023 (14 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• L••••• C••••• left U••• B•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-01-10)Dec 20, 2023 · Advisor changed firm · fact
- C•••• L••••• C••••• left J••• M••••• S••••••••• L•• for U••• B•••••• I••••••••• I••• (registered 2023-09-05)Aug 22, 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address