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.
M•••••• R• B••••
- F•••••• W••••• A••••••• independent RIA currentsince Mar 14, 2025 · Bellevue, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerJul 20, 2020 to Apr 2, 2025 · Kirkland, Wa
- K••••• A••••••• S•••••••• L•• BD affiliatedSep 21, 2018 to Jun 3, 2020 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedMar 16, 2017 to Oct 3, 2018 · Olympia, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerNov 10, 2010 to Apr 10, 2019 · Seattle, Wa
- N•• A•••••••• I••• unclassifiedFeb 22, 2008 to Dec 1, 2010 · Seattle, Wa
- N•• F••••••••• I••• unclassifiedJul 19, 2006 to Oct 22, 2008 · Bryan, Oh
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2001 to Jul 13, 2006 · Bellevue, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to F•••••• W••••• A•••••••left Apr 2, 2025, registered Mar 14, 2025 (-19 days) · RIA to a newly registered adviser · moved with a team
- K••••• A••••••• S•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Jun 3, 2020, registered Jul 20, 2020 (47 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Apr 10, 2019, registered Mar 16, 2017 (-755 days) · Other · moved with a team
- L•• F•••••••• L•• to K••••• A••••••• S•••••••• L••left Oct 3, 2018, registered Sep 21, 2018 (-12 days) · RIA to affiliated broker-dealer or bank
- N•• A•••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Dec 1, 2010, registered Nov 10, 2010 (-21 days) · Other
- N•• F••••••••• I••• to N•• A•••••••• I•••left Oct 22, 2008, registered Feb 22, 2008 (-243 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to N•• F••••••••• I•••left Jul 13, 2006, registered Jul 19, 2006 (6 days) · Other
- M•••••• R• B•••• left F•••••••• A•••••••• I••••••••• M••••••••• for F•••••• W••••• A••••••• (registered 2025-03-14)Apr 2, 2025 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address