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.
D••••• J••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Lake Oswego, Or
- S•••••••• F••••••••• I••• formerSep 1, 2020 to Sep 1, 2023 · Lake Oswego, Or
- L•• F•••••••• L•• BD affiliatedFeb 1, 2018 to Sep 11, 2020 · Lake Oswego, Or
- S•••••• P••••••• I••••••••• S••••••••• L•• formerJun 17, 2009 to Jan 17, 2018 · Portland, Or
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 23, 2009 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 9, 2004 to Jun 1, 2009 · Portland, Or
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 13, 2004 · Portland, Or
- P••••••••• E••••• G••••• L•• unclassifiedJan 8, 1993 to Jul 1, 2003 · Portland, Or
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S•••••••• F••••••••• I•••left Sep 11, 2020, registered Sep 1, 2020 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- S•••••• P••••••• I••••••••• S••••••••• L•• to L•• F•••••••• L••left Jan 17, 2018, registered Feb 1, 2018 (15 days) · Other
- M••••• S•••••• to S•••••• P••••••• I••••••••• S••••••••• L••left Jun 23, 2009, registered Jun 17, 2009 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Aug 13, 2004, registered Aug 9, 2004 (-4 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address