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••••• R••••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Dec 8, 2011 · Anaheim, Ca
- S••••••• F•••••••• S•••••••• I••• formerOct 13, 2009 to Dec 9, 2011 · Bellevue, Wa
- W••••••• F•••••••• S•••••••• I••• formerOct 30, 2003 to Nov 5, 2009 · Seatac, Wa
- S••••••• F•••••••• S•••••••• I••• to C•••••••• F••••••••• I•••left Dec 9, 2011, registered Dec 8, 2011 (-1 days) · Other
- W••••••• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Nov 5, 2009, registered Oct 13, 2009 (-23 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address