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.
G••••••• H• W••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 24, 2021 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseMay 11, 2012 to Aug 24, 2021 · Seattle, Wa
- D••• D••••••• • C•• independent RIAAug 19, 2005 to May 16, 2012 · Bellevue, Wa
- W•••• F•••• I••••••••• L•• unclassifiedApr 24, 1997 to Aug 19, 2005 · Seattle, Wa
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 24, 2021, registered Aug 24, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank
- D••• D••••••• • C•• to U•• F•••••••• S••••••• I•••left May 16, 2012, registered May 11, 2012 (-5 days) · Other
- W•••• F•••• I••••••••• L•• to D••• D••••••• • C••left Aug 19, 2005, registered Aug 19, 2005 (0 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address