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•• F• M•••••
- I••••••••• A•••••• S••••••••• L•• former sec a•••••• currentsince Feb 2, 2026 · Spokane Valley, Wa
- L•• F•••••••• L•• BD affiliatedOct 23, 2018 to Feb 2, 2026 · San Diego, Ca
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 13, 2016 to Oct 23, 2018 · Spokane Valley, Wa
- N•• A•••••• S•••••••• L•• former sec a••••••Jan 23, 2014 to Sep 22, 2016 · Spokane Valley, Wa
- W•••• F•••• A••••••• wirehouseJan 15, 2010 to Jan 17, 2014 · Spokane Valley, Wa
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 2005 to Jan 25, 2010 · Spokane, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 1, 1996 to Jul 28, 2005 · Coeur Dalene, Id
- L•• F•••••••• L•• to I••••••••• A•••••• S••••••••• L••left Feb 2, 2026, registered Feb 2, 2026 (0 days) · Affiliated broker-dealer or bank to independent RIA
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 23, 2018, registered Oct 23, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered May 13, 2016 (-132 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to N•• A•••••• S•••••••• L••left Jan 17, 2014, registered Jan 23, 2014 (6 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Jan 25, 2010, registered Jan 15, 2010 (-10 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Jul 28, 2005, registered Jul 8, 2005 (-20 days) · Other
- D•• F• M••••• left L•• F•••••••• L•• for I••••••••• A•••••• S••••••••• L•• (registered 2026-02-02)Feb 2, 2026 · a•••••• firm change · fact
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
- FORMER SEC A••••••derived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address