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•••••• M••••• M•••••
- F•••••• B••••••• A••••••• state registered currentsince Dec 13, 2017 · Poulsbo, Wa
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• formerMay 20, 2015 to Feb 8, 2018 · Poulsbo, Wa
- A•••• F•••••••• M••••••••• I••• formerApr 10, 2009 to May 12, 2015 · Cheney, Wa
- S••••••• F•••••••• S•••••••• I••• unclassifiedApr 17, 2001 to May 5, 2006 · Pleasant Hill, Ca
- O•••• W•••••• I••• BD affiliatedMar 19, 2001 to Jan 27, 2004 · Pleasant Hill, Ca
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• to F•••••• B••••••• A•••••••left Feb 8, 2018, registered Dec 13, 2017 (-57 days) · RIA to a state-registered adviser
- A•••• F•••••••• M••••••••• I••• to O••••••• A••••••• A•• F•••••••• S•••••••• L••left May 12, 2015, registered May 20, 2015 (8 days) · Other
- S••••••• F•••••••• S•••••••• I••• to A•••• F•••••••• M••••••••• I•••left May 5, 2006, registered Apr 10, 2009 (1071 days) · Other
- O•••• W•••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 27, 2004, registered Apr 17, 2001 (-1015 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address