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••• W•••••• L••
- D••• D••••••• • C•• independent RIA currentsince Jun 30, 2009 · Spokane, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 23, 2009 · Spokane, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 2, 2003 to Jun 1, 2009 · Spokane, Wa
- P•••• S•••••• • C•• institutionalJul 13, 1998 to May 14, 2003 · Spokane, Wa
- M••••• S•••••• to D••• D••••••• • C••left Jul 23, 2009, registered Jun 30, 2009 (-23 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P•••• S•••••• • C•• to C•••••••• G••••• M•••••• I•••left May 14, 2003, registered May 2, 2003 (-12 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