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•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 11, 2018 · Portland, Or
- S•••••• W••••• P•••••••• L•• BD affiliatedFeb 3, 2017 to Mar 12, 2018 · Scottsdale, Az
- O••••••••• • C•• I••• BD affiliatedJan 16, 2007 to Feb 15, 2017 · Bellevue, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedMar 31, 2006 to Jan 12, 2007 · Seattle, Wa
- C•••••• S••••• • C••• I••• national BDMar 13, 2004 to Jan 9, 2006 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 17, 1998 to Mar 2, 2004 · Seattle, Wa
- S•••••• W••••• P•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2018, registered Feb 11, 2018 (-29 days) · Other
- O••••••••• • C•• I••• to S•••••• W••••• P•••••••• L••left Feb 15, 2017, registered Feb 3, 2017 (-12 days) · Other
- K•• I••••••••• S••••••• L•• to O••••••••• • C•• I•••left Jan 12, 2007, registered Jan 16, 2007 (4 days) · Other
- C•••••• S••••• • C••• I••• to K•• I••••••••• S••••••• L••left Jan 9, 2006, registered Mar 31, 2006 (81 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Mar 2, 2004, registered Mar 13, 2004 (11 days) · Wirehouse to affiliated broker-dealer or bank
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address