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•••••• J•••• K•••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Feb 23, 2023 · Sammamish, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 14, 2014 to Feb 27, 2023 · Bellevue, Wa
- C••••• A•••••• N••••••• L•• formerNov 28, 2012 to Feb 19, 2014 · Bellevue, Wa
- M• H••••••• S••••••••• I••• BD affiliatedFeb 13, 2007 to Nov 19, 2012 · Portland, Or
- W•••• F•••• I••••••••• L•• unclassifiedJan 31, 2000 to Oct 29, 2004 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Feb 27, 2023, registered Feb 23, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Feb 19, 2014, registered Feb 14, 2014 (-5 days) · Other
- M• H••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Nov 19, 2012, registered Nov 28, 2012 (9 days) · Other
- W•••• F•••• I••••••••• L•• to M• H••••••• S••••••••• I•••left Oct 29, 2004, registered Feb 13, 2007 (837 days) · Other
- M•••••• J•••• K••••• left A••••••••• F•••••••• S•••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-02-23)Feb 27, 2023 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address