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.
D•••••• T• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 22, 2025 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerAug 25, 2023 to Sep 17, 2024 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 5, 2012 to Jun 20, 2023 · Seattle, Wa
- M••••• S•••••• wirehouseMar 14, 2011 to Jul 12, 2012 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 3, 2009 to Mar 16, 2011 · Seattle, Wa
- U••• B•••••• I••••••••• I••• to J••• M••••• S••••••••• L••left Sep 17, 2024, registered Jul 22, 2025 (308 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Jun 20, 2023, registered Aug 25, 2023 (66 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2012, registered Sep 5, 2012 (55 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 16, 2011, registered Mar 14, 2011 (-2 days) · Wirehouse to wirehouse
- D•••••• T• M•••••• left U••• B•••••• I••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2025-07-22)Sep 17, 2024 · Advisor changed firm · fact
- D•••••• T• M•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for U••• B•••••• I••••••••• I••• (registered 2023-08-25)Jun 20, 2023 · 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address