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.
R•••• J•• J•••••••
- O•••• W•••••• I••• BD affiliated currentsince Dec 3, 2021 · East Wenatchee, Wa
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Dec 20, 2021 · East Wenatchee, Wa
- W•••••• • R••• formerJan 10, 2014 to Jul 21, 2021 · Wenatchee, Wa
- E••••• J•••• national BDJul 29, 2005 to Jan 14, 2014 · Richland, Wa
- P••••••• C•••••• M••••••••• I••• unclassifiedFeb 28, 2003 to Aug 1, 2005 · Wenatchee, Wa
- P•••• S•••••• • C•• institutionalOct 28, 1994 to Mar 11, 2003 · Wenatchee, Wa
- L•• F•••••••• L•• to O•••• W•••••• I•••left Dec 20, 2021, registered Dec 3, 2021 (-17 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- E••••• J•••• to W•••••• • R•••left Jan 14, 2014, registered Jan 10, 2014 (-4 days) · Other
- P••••••• C•••••• M••••••••• I••• to E••••• J••••left Aug 1, 2005, registered Jul 29, 2005 (-3 days) · Other
- P•••• S•••••• • C•• to P••••••• C•••••• M••••••••• I•••left Mar 11, 2003, registered Feb 28, 2003 (-11 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
- 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