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.
T••••• F•••••• K••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 8, 2022 · Lynnwood, Wa
- W•••• F•••• A••••••• wirehouseJan 12, 2012 to Sep 14, 2022 · Lynnwood, Wa
- D••• D••••••• • C•• independent RIAJul 7, 2006 to Jan 13, 2012 · Everett, Wa
- P•••• S•••••• • C•• institutionalOct 28, 2005 to Jul 13, 2006 · Everett, Wa
- W•••• F•••• A••••••• to L•• F•••••••• L••left Sep 14, 2022, registered Sep 8, 2022 (-6 days) · Wirehouse to independent RIA · moved with a team
- D••• D••••••• • C•• to W•••• F•••• A•••••••left Jan 13, 2012, registered Jan 12, 2012 (-1 days) · Other
- P•••• S•••••• • C•• to D••• D••••••• • C••left Jul 13, 2006, registered Jul 7, 2006 (-6 days) · Other
- T••••• F•••••• K•••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2022-09-08)Sep 14, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address