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.
P••• M•••••• G••••••
- T••• H•••••• W••••• M••••••••• L•• state registered currentsince Sep 17, 2020 · Aberdeen, Wa
- D••• D••••••• • C•• independent RIAFeb 10, 2009 to Jun 17, 2020 · Aberdeen, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Nov 30, 2007 · Aberdeen, Wa
- P•••• S•••••• • C•• institutionalDec 28, 2001 to Aug 12, 2006 · Aberdeen, Wa
- D••• D••••••• • C•• to T••• H•••••• W••••• M••••••••• L••left Jun 17, 2020, registered Sep 17, 2020 (92 days) · RIA to a state-registered adviser
- U•• F•••••••• S••••••• I••• to D••• D••••••• • C••left Nov 30, 2007, registered Feb 10, 2009 (438 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- STATE REGISTEREDderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address