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.
G••••• C•••••• H•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 15, 2019 · Bellevue, Wa
- R••••• W• B•••• • C•• I••••••••• mixed wealthNov 7, 2014 to Mar 11, 2019 · Seattle, Wa
- M•••••• W••••• R••••• I••• formerMay 23, 2003 to Nov 7, 2014 · Seattle, Wa
- W•••• F•••• I••••••••• L•• unclassifiedJun 24, 2002 to May 15, 2003 · Seattle, Wa
- R••••• W• B•••• • C•• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 11, 2019, registered Feb 15, 2019 (-24 days) · RIA to affiliated broker-dealer or bank
- M•••••• W••••• R••••• I••• to R••••• W• B•••• • C•• I•••••••••left Nov 7, 2014, registered Nov 7, 2014 (0 days) · corporate re-registration, not a move
- W•••• F•••• I••••••••• L•• to M•••••• W••••• R••••• I•••left May 15, 2003, registered May 23, 2003 (8 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address