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.
D•• P• H•••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 9, 2021 · Auburn, Wa
- P•••••••• S••••••••• I••• BD affiliatedOct 22, 2020 to Nov 11, 2021 · Kent, Wa
- K•• F•••••••• S•••••••• I•• formerDec 19, 2001 to Oct 16, 2020 · Kent, Wa
- P•••••••• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 11, 2021, registered Nov 9, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to P•••••••• S••••••••• I•••left Oct 16, 2020, registered Oct 22, 2020 (6 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address