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.
J••• M•••••• Q••••••
- E• W••••• M••••••••• independent RIA currentsince Mar 7, 2018 · Bellevue, Wa
- C•••••• P•••••••• L•• independent RIAJan 22, 2014 to Apr 9, 2018 · Bellevue, Wa
- C•••••• P••••••• C••• formerDec 14, 2004 to Jan 27, 2014 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedMar 20, 2002 to Dec 16, 2002 · Tukwila, Wa
- C•••••• P•••••••• L•• to E• W••••• M•••••••••left Apr 9, 2018, registered Mar 7, 2018 (-33 days) · RIA to a newly registered adviser · moved with a team
- C•••••• P••••••• C••• to C•••••• P•••••••• L••left Jan 27, 2014, registered Jan 22, 2014 (-5 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to C•••••• P••••••• C•••left Dec 16, 2002, registered Dec 14, 2004 (729 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address