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.
T•••• R•• S••••••••
- W•••• F•••• A••••••• wirehouse currentsince Nov 10, 2023 · Mercer Island, Wa
- L•• F•••••••• L•• BD affiliatedOct 1, 2020 to Nov 16, 2023 · San Diego, Ca
- E• R•••• I••••••••• L•• formerFeb 12, 2008 to Nov 6, 2020 · Issaquah, Wa
- E• R•••• A•••••••• L•• unclassifiedAug 29, 2005 to Dec 31, 2007 · Issaquah, Wa
- F•••• A••••• S••••••••• I••• formerMay 17, 2004 to Jun 14, 2005 · Issaquah, Wa
- R•••• M•••••••• I••••••••• S•••••••• L•• unclassifiedFeb 28, 2000 to May 17, 2004 · Issaquah, Wa
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Nov 16, 2023, registered Nov 10, 2023 (-6 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- E• R•••• I••••••••• L•• to L•• F•••••••• L••left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
- E• R•••• A•••••••• L•• to E• R•••• I••••••••• L••left Dec 31, 2007, registered Feb 12, 2008 (43 days) · Other
- F•••• A••••• S••••••••• I••• to E• R•••• A•••••••• L••left Jun 14, 2005, registered Aug 29, 2005 (76 days) · Other
- R•••• M•••••••• I••••••••• S•••••••• L•• to F•••• A••••• S••••••••• I•••left May 17, 2004, registered May 17, 2004 (0 days) · Other
- T•••• R•• S•••••••• left L•• F•••••••• L•• for W•••• F•••• A••••••• (registered 2023-11-10)Nov 16, 2023 · 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address