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.
B•••••• A••• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 26, 2018 · Tacoma, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerDec 21, 2012 to Nov 1, 2018 · Olympia, Wa
- L•• F•••••••• L•• BD affiliatedJan 2, 2009 to Nov 8, 2018 · Tacoma, Wa
- F•••• C•••••• B••• unclassifiedApr 12, 2004 to Sep 2, 2005 · Fort Worth, Tx
- F•••• C•••••• F•••••••• P•••••••• I••• formerAug 22, 2000 to Oct 8, 2008 · University Place, Wa
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Nov 8, 2018, registered Dec 21, 2012 (-2148 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Nov 1, 2018, registered Oct 26, 2018 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•••• C•••••• F•••••••• P•••••••• I••• to F•••• C•••••• B•••left Oct 8, 2008, registered Apr 12, 2004 (-1640 days) · Other
- F•••• C•••••• B••• to L•• F•••••••• L••left Sep 2, 2005, registered Jan 2, 2009 (1218 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address