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••• P••••• K••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Sequim, Wa
- S••••• F•••••••• A••••• unclassifiedMar 6, 2009 to Dec 31, 2018 · Sequim, Wa
- S•••••••• F••••••••• I••• formerOct 31, 2005 to Sep 1, 2023 · Sequim, Wa
- S••••••••• S••••••••• I••• unclassifiedJul 14, 2003 to Oct 31, 2005 · Sequim, Wa
- C••••• A•••••• N••••••• L•• formerSep 9, 1999 to Dec 18, 2002 · Santa Rosa, Ca
- S•••••••• F••••••••• I••• to S••••• F•••••••• A•••••left Sep 1, 2023, registered Mar 6, 2009 (-5292 days) · Other
- S••••• F•••••••• A••••• to O•••• W•••••• I•••left Dec 31, 2018, registered Sep 1, 2023 (1705 days) · Other
- S••••••••• S••••••••• I••• to S•••••••• F••••••••• I•••left Oct 31, 2005, registered Oct 31, 2005 (0 days) · corporate re-registration, not a move
- C••••• A•••••• N••••••• L•• to S••••••••• S••••••••• I•••left Dec 18, 2002, registered Jul 14, 2003 (208 days) · Other
- B••• P••••• K•••• left S•••••••• F••••••••• I••• for S••••• F•••••••• A••••• (registered 2009-03-06)Sep 1, 2023 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address