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.
W••• E••• H•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 21, 2016 · Kennewick, Wa
- R•• C•••••• M••••••• L•• national BDJan 30, 2009 to May 6, 2016 · Richland, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Feb 11, 2009 · Kennewick, Wa
- P•••• S•••••• • C•• institutionalMay 31, 2002 to Aug 12, 2006 · Idaho Falls, Id
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 14, 1996 to Jun 6, 2002 · Kennewick, Wa
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left May 6, 2016, registered Apr 21, 2016 (-15 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Feb 11, 2009, registered Jan 30, 2009 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to P•••• S•••••• • C••left Jun 6, 2002, registered May 31, 2002 (-6 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address