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.
M••• A••••• M•••
- N•••••••• A•••• M••••••••• independent RIA currentsince Oct 26, 2020 · Mercer Island, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 1, 2020 to Oct 14, 2020 · Bellevue, Wa
- H•••••••• A•••••••• L•• BD affiliatedMar 20, 2018 to Apr 24, 2020 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDAug 5, 2002 to Feb 20, 2018 · Lynnwood, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••••• A•••• M•••••••••left Oct 14, 2020, registered Oct 26, 2020 (12 days) · Wirehouse to independent RIA
- H•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 24, 2020, registered Jun 1, 2020 (38 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• S••••• • C••• I••• to H•••••••• A•••••••• L••left Feb 20, 2018, registered Mar 20, 2018 (28 days) · Affiliated broker-dealer or bank to another
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address