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Advisor at INDEPENDENT ADVISOR ALLIANCE, LLC
Seattle, WA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| INDEPENDENT ADVISOR ALLIANCE, LLC | Independent wealth | Aug 29, 2025 | n/a | yes | Seattle, WA | Current employment |
| FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | Former SEC adviser | Dec 15, 2016 | Sep 25, 2025 | no | Seattle, WA|OLYMPIA, WA | Previous registration |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY | n/a | Mar 23, 2006 | Apr 30, 2007 | no | MILWAUKEE, WI | Previous registration |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | No RAUM reported | Feb 16, 2005 | Dec 14, 2016 | no | BELLEVUE, WA|SEATTLE, WA|SEATTLE, WA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | INDEPENDENT ADVISOR ALLIANCE, LLC | Sep 25, 2025 | Aug 29, 2025 | -27 | Firm change | Other |
| NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC | NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY | Dec 14, 2016 | Mar 23, 2006 | -3,919 | Firm change after gap | Other |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY | FINANCIAL ADVOCATES INVESTMENT MANAGEMENT | Apr 30, 2007 | Dec 15, 2016 | 3,517 | Firm change after gap | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151298:168267:WA:2025-09-25 | Sep 25, 2025 | Aug 29, 2025 | OLYMPIA, WA | Firm change |