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••••• J••••• G••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Mar 20, 2025 · Kirkland, Wa
- O•••• I••••••••• A•••••••• L•• formerMar 14, 2017 to Mar 17, 2025 · Bellevue, Wa
- O•••• I••••••••• A•••••••• L•• formerApr 29, 2011 to Dec 31, 2016 · Bellevue, Wa
- O•••• I••••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 17, 2025, registered Mar 20, 2025 (3 days) · RIA to affiliated broker-dealer or bank
- D••••• J••••• G•••••• left O•••• I••••••••• A•••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2025-03-20)Mar 17, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address