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.
K•••••• L•• C••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJan 19, 2021 to Sep 1, 2023 · Scottsdale, Az
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Jun 14, 2024 · Seattle, Wa
- K•• F•••••••• S•••••••• I•• formerJun 2, 2016 to Nov 6, 2020 · Seattle, Wa
- S••••••• I••••••••• I••• formerMay 13, 2014 to Jul 14, 2016 · Boston, Ma
- S••••••• F•••••••• S•••••••• I••• formerJun 12, 2012 to Jan 7, 2016 · Boston, Ma
- P•••••• W••• F•••••••• C••••••••• I•• formerApr 11, 2001 to Mar 16, 2012 · Renton, Wa
- S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••left Jun 14, 2024, registered Jan 19, 2021 (-1242 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- S••••••• I••••••••• I••• to K•• F•••••••• S•••••••• I••left Jul 14, 2016, registered Jun 2, 2016 (-42 days) · Other
- S••••••• F•••••••• S•••••••• I••• to S••••••• I••••••••• I•••left Jan 7, 2016, registered May 13, 2014 (-604 days) · channel change inside one enterprise, not a move
- P•••••• W••• F•••••••• C••••••••• I•• to S••••••• F•••••••• S•••••••• I•••left Mar 16, 2012, registered Jun 12, 2012 (88 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address