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.
T•••• J• U••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 15, 2020 · Bothell, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedJul 25, 2016 to May 7, 2019 · Tacoma, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 29, 2016 · Bellevue, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 5, 2008 to Jun 1, 2009 · Bellevue, Wa
- W••• I••••••••• I••• unclassifiedJun 6, 2007 to Jun 17, 2008 · Seattle, Wa
- M••••• S•••••• D• I••• unclassifiedNov 19, 2004 to May 8, 2006 · Seattle, Wa
- K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••left May 7, 2019, registered Sep 15, 2020 (497 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to K•• I••••••••• S••••••• L••left Jul 29, 2016, registered Jul 25, 2016 (-4 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
- W••• I••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jun 17, 2008, registered Aug 5, 2008 (49 days) · Other
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left May 8, 2006, registered Jun 6, 2007 (394 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address