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.
V•••••• E•••••• C••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 10, 2023 · Bend, Or
- U••• B•••••• I••••••••• I••• formerApr 15, 2022 to Nov 16, 2022 · Bend, Or
- W•••• F•••• A••••••• wirehouseAug 10, 2021 to Mar 24, 2022 · Vancouver, Wa
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Nov 16, 2022, registered Jan 10, 2023 (55 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Mar 24, 2022, registered Apr 15, 2022 (22 days) · Wirehouse to affiliated broker-dealer or bank
- V•••••• E•••••• C•••••••• left U••• B•••••• I••••••••• I••• for W•••• F•••• A••••••• (registered 2023-01-10)Nov 16, 2022 · Advisor changed firm · fact
- V•••••• E•••••• C•••••••• left W•••• F•••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2022-04-15)Mar 24, 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address