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••• B••••• H••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Tacoma, Wa
- P•••••• W••• F•••••••• C••••••••• I•• formerNov 5, 2010 to Feb 28, 2012 · Renton, Wa
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 27, 2007 to Dec 31, 2007 · Englewood, Co
- U••••• S••••••••• A•••••••• I••• unclassifiedApr 27, 2007 to Nov 5, 2010 · Englewood, Co
- O•••• W•••••• I••• BD affiliatedMar 1, 2007 to Nov 12, 2010 · Tacoma, Wa
- U••••• S••••••••• A•••••••• I••• unclassifiedJun 28, 2004 to Mar 1, 2007 · Tacoma, Wa
- T•• I••••••••• C•••••• I••• unclassifiedAug 19, 1999 to Jun 29, 2004 · Tacoma, Wa
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• I••••••••• A••••••• L••left Feb 28, 2012, registered Mar 21, 2024 (4405 days) · Other
- O•••• W•••••• I••• to U••••• S••••••••• A•••••••• I•••left Nov 12, 2010, registered Apr 27, 2007 (-1295 days) · Other
- U••••• S••••••••• A•••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Nov 5, 2010, registered Nov 5, 2010 (0 days) · Other
- U••••• S••••••••• A•••••••• I••• to O•••• W•••••• I•••left Mar 1, 2007, registered Mar 1, 2007 (0 days) · Other
- T•• I••••••••• C•••••• I••• to U••••• S••••••••• A•••••••• I•••left Jun 29, 2004, registered Jun 28, 2004 (-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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address