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.
D••• S•••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 29, 2025 · Tacoma, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerApr 3, 2017 to Jun 13, 2025 · Bellevue, Wa
- P•••••• A•••••• G••••• L•• BD affiliatedDec 16, 2013 to Apr 10, 2017 · Bellevue, Wa
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedJul 22, 2013 to Mar 7, 2014 · Bellevue, Wa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jul 24, 2013 · Seattle, Wa
- W•••• F•••• I••••••••• L•• unclassifiedSep 29, 2006 to Jan 3, 2011 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseSep 17, 1997 to Oct 2, 2006 · Seattle, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Jun 13, 2025, registered Apr 29, 2025 (-45 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P•••••• A•••••• G••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Apr 10, 2017, registered Apr 3, 2017 (-7 days) · Other
- K••••• P•••••• W••••• S•••••••• L•• to P•••••• A•••••• G••••• L••left Mar 7, 2014, registered Dec 16, 2013 (-81 days) · Other
- W•••• F•••• A••••••• to K••••• P•••••• W••••• S•••••••• L••left Jul 24, 2013, registered Jul 22, 2013 (-2 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to W•••• F•••• I••••••••• L••left Oct 2, 2006, registered Sep 29, 2006 (-3 days) · Other
- D••• S•••• B•••••• left F•••••••• A•••••••• I••••••••• M••••••••• for L•• F•••••••• L•• (registered 2025-04-29)Jun 13, 2025 · a•••••• firm change · 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
- 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