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••• M••••••• H•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 21, 2017 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerFeb 8, 2010 to Sep 20, 2017 · Arlington, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jan 27, 2010 · Mill Creek, Wa
- W••• I••••••••• I••• unclassifiedMar 9, 2004 to May 2, 2009 · Everett, Wa
- E•••••••• A•••••••• L•• national BDOct 16, 2003 to Dec 2, 2003 · Bellevue, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 1, 1998 to Jul 8, 2002 · Seattle, Wa
- U••• B•••••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 20, 2017, registered Sep 21, 2017 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Jan 27, 2010, registered Feb 8, 2010 (12 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to W••• I••••••••• I•••left Dec 2, 2003, registered Mar 9, 2004 (98 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••••••• A•••••••• L••left Jul 8, 2002, registered Oct 16, 2003 (465 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
- Wirehousederived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address