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.
L•••• S•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 26, 2018 · Seattle, Wa
- S••••••• I••••••••• I••• formerJun 16, 2017 to Oct 26, 2018 · Seattle, Wa
- R•• C•••••• M••••••• L•• national BDMay 1, 2008 to Jun 6, 2017 · Bainbridge Island, Wa
- U•• F•••••••• S••••••• I••• wirehouseMar 12, 2007 to Jul 25, 2007 · Seattle, Wa
- S••••••• I••••••••• I••• to L•• F•••••••• L••left Oct 26, 2018, registered Oct 26, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- R•• C•••••• M••••••• L•• to S••••••• I••••••••• I•••left Jun 6, 2017, registered Jun 16, 2017 (10 days) · Other
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jul 25, 2007, registered May 1, 2008 (281 days) · Wirehouse to affiliated broker-dealer or bank
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address