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.
K•••• W• O••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 30, 2018 · Seattle, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 6, 2018 · Seattle, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 26, 2008 to Jun 1, 2009 · Seattle, Wa
- P•••••• P•••••••• C••••••••• L•• formerMar 21, 2006 to Feb 29, 2008 · Seattle, Wa
- P•••••• P•••••••• C••••••••• L• unclassifiedFeb 12, 2003 to Dec 31, 2006 · Seattle, Wa
- M••••• S•••••• D• I••• unclassifiedAug 23, 2000 to Jan 15, 2003 · Seattle, Wa
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 6, 2018, registered Jul 30, 2018 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P•••••• P•••••••• C••••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 29, 2008, registered Feb 26, 2008 (-3 days) · Other
- P•••••• P•••••••• C••••••••• L• to P•••••• P•••••••• C••••••••• L••left Dec 31, 2006, registered Mar 21, 2006 (-285 days) · Other
- M••••• S•••••• D• I••• to P•••••• P•••••••• C••••••••• L•left Jan 15, 2003, registered Feb 12, 2003 (28 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address