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.
P••• K• D•••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Oct 19, 2020 · Bothell, Wa
- K•• F•••••••• S•••••••• I•• formerOct 16, 2019 to Oct 19, 2020 · Seattle, Wa
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 28, 2014 to Oct 21, 2019 · Seattle, Wa
- D••• H••• A•••••••• I••• independent RIANov 12, 2008 to Aug 1, 2014 · Seattle, Wa
- K•• F•••••••• S•••••••• I•• to W••••••••• A••••••• P••••••• L••left Oct 19, 2020, registered Oct 19, 2020 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• I••••••••• R••••••• A•••••••• I••• to K•• F•••••••• S•••••••• I••left Oct 21, 2019, registered Oct 16, 2019 (-5 days) · Affiliated broker-dealer or bank to another
- D••• H••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 1, 2014, registered Jul 28, 2014 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address