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.
L•••• L••• K••••••
- H•••••• W••••• M••••••••• L•• independent RIA currentsince Mar 10, 2025 · Seattle, Wa
- H•••••••• A•••••••• L•• BD affiliatedJul 28, 2014 to Mar 21, 2024 · Bellevue, Wa
- T•••• formerNov 15, 2007 to Jan 29, 2015 · Bellevue, Wa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 3, 2007 to Mar 5, 2009 · Bellevue, Wa
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Dec 6, 2005 · Phoenix, Az
- S••••• S••••••••• C••••••••• unclassifiedFeb 11, 1997 to Oct 31, 2005 · Seattle, Wa
- T••••••••• W••••• independent RIAAug 13, 1992 to Aug 17, 2007 · Bellevue, Wa
- H•••••••• A•••••••• L•• to H•••••• W••••• M••••••••• L••left Mar 21, 2024, registered Mar 10, 2025 (354 days) · Affiliated broker-dealer or bank to independent RIA
- T•••• to H•••••••• A•••••••• L••left Jan 29, 2015, registered Jul 28, 2014 (-185 days) · Other · moved with a team
- C•••••••• I••••••••• R••••••• A•••••••• I••• to T••••left Mar 5, 2009, registered Nov 15, 2007 (-476 days) · Other
- T••••••••• W••••• to S••••• S••••••••• C•••••••••left Aug 17, 2007, registered Feb 11, 1997 (-3839 days) · Other
- S•••••••• F••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 6, 2005, registered Aug 3, 2007 (605 days) · Other
- S••••• S••••••••• C••••••••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- L•••• L••• K•••••• left H•••••••• A•••••••• L•• for H•••••• W••••• M••••••••• L•• (registered 2025-03-10)Mar 21, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address