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••••• J•••• W•••
- M••••• G••••• A••••••• I••• independent RIA currentsince May 22, 2014 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDMay 28, 2008 to Jun 2, 2014 · Lynnwood, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 30, 2006 to May 5, 2008 · San Francisco, Ca
- C•••••• S••••• • C••• I••• to M••••• G••••• A••••••• I•••left Jun 2, 2014, registered May 22, 2014 (-11 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left May 5, 2008, registered May 28, 2008 (23 days) · Affiliated broker-dealer or bank to another
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address