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.
E••• C•••••• J••••••
- E•• W••••• M••••••••• L•• state registered currentsince Apr 11, 2024 · Port Angeles, Wa
- L•• F•••••••• L•• BD affiliatedAug 9, 2021 to Aug 3, 2023 · Sequim, Wa
- P•••••••• S••••••••• I••• BD affiliatedNov 25, 2020 to Jun 15, 2021 · Port Angeles, Wa
- M••••• S•••••• wirehouseJul 11, 2016 to Jun 12, 2018 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseAug 10, 2012 to Jul 12, 2016 · Seattle, Wa
- R•• C•••••• M••••••• L•• national BDMay 16, 2003 to Sep 15, 2005 · Bainbridge Island, Wa
- L•• F•••••••• L•• to E•• W••••• M••••••••• L••left Aug 3, 2023, registered Apr 11, 2024 (252 days) · Affiliated broker-dealer or bank to a state-registered adviser
- P•••••••• S••••••••• I••• to L•• F•••••••• L••left Jun 15, 2021, registered Aug 9, 2021 (55 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to P•••••••• S••••••••• I•••left Jun 12, 2018, registered Nov 25, 2020 (897 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Jul 12, 2016, registered Jul 11, 2016 (-1 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Sep 15, 2005, registered Aug 10, 2012 (2521 days) · Affiliated broker-dealer or bank to wirehouse
- E••• C•••••• J•••••• left L•• F•••••••• L•• for E•• W••••• M••••••••• L•• (registered 2024-04-11)Aug 3, 2023 · 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address