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.
E•••• J••••• K••••
- O•••• W•••••• I••• BD affiliated currentsince Apr 20, 2022 · Montesano, Wa
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedJan 31, 2018 to Apr 20, 2022 · Aberdeen, Wa
- D••• D••••••• • C•• independent RIAOct 19, 2004 to Feb 1, 2018 · Aberdeen, Wa
- K••••• P•••••• W••••• S•••••••• L•• to O•••• W•••••• I•••left Apr 20, 2022, registered Apr 20, 2022 (0 days) · Affiliated broker-dealer or bank to another
- D••• D••••••• • C•• to K••••• P•••••• W••••• S•••••••• L••left Feb 1, 2018, registered Jan 31, 2018 (-1 days) · Other
- E•••• J••••• K•••• left K••••• P•••••• W••••• S•••••••• L•• for O•••• W•••••• I••• (registered 2022-04-20)Apr 20, 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
- 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