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.
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- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Puyallup, Wa
- I••••• F•••••••• C••••••••• formerMar 24, 2009 to Nov 21, 2017 · Lynnwood, Wa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedAug 6, 2003 to Apr 3, 2009 · St. Petersburg, Fl
- P•••••• W••• F•••••••• C••••••••• I•• formerJun 12, 2001 to Aug 7, 2003 · Puyallup, Wa
- I••••• F•••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Nov 21, 2017, registered Mar 21, 2024 (2312 days) · Other · moved with a team
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Apr 3, 2009, registered Mar 24, 2009 (-10 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to T••••••••• F•••••••• A•••••••• L••left Aug 7, 2003, registered Aug 6, 2003 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address