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.
S•••• A•••• S••••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Dec 9, 2022 · Bellevue, Wa
- S•••••••• W••••• A•••••••• I••• formerNov 21, 2006 to Dec 20, 2022 · Bellvue, Wa
- S•••••••• W••••• M••••••••• I•• formerOct 6, 1994 to Dec 4, 2006 · Mercer Island, Wa
- S•••••••• W••••• A•••••••• I••• to H•••••••• A•••••••• L••left Dec 20, 2022, registered Dec 9, 2022 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• W••••• M••••••••• I•• to S•••••••• W••••• A•••••••• I•••left Dec 4, 2006, registered Nov 21, 2006 (-13 days) · Other
- S•••• A•••• S•••••••• left S•••••••• W••••• A•••••••• I••• for H•••••••• A•••••••• L•• (registered 2022-12-09)Dec 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address