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.
C••••••••• A••••• J•••••
- R•• C•••••• M••••••• L•• national BD currentsince May 10, 2018 · Spokane, Wa
- W•••• F•••• A••••••• wirehouseJun 28, 2016 to Apr 30, 2018 · Spokane, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 20, 2016 · Spokane, Wa
- M••••• S•••••• • C•• L•• unclassifiedDec 5, 2008 to Jun 1, 2009 · Spokane, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Dec 16, 2008 · Spokane, Wa
- P•••• S•••••• • C•• institutionalAug 9, 2004 to Aug 12, 2006 · Spokane, Wa
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Apr 30, 2018, registered May 10, 2018 (10 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Jul 20, 2016, registered Jun 28, 2016 (-22 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Dec 16, 2008, registered Dec 5, 2008 (-11 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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