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.
C•••••• A••• L•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Jul 1, 2022 · Seattle, Wa
- J••• M••••• S••••••••• L•• wirehouseSep 21, 2021 to Jun 5, 2022 · Arlington, Wa
- T•• R••••••••• S••••••• L•• independent RIAJan 27, 2021 to Aug 10, 2021 · Redmond, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 26, 2020 · Santa Monica, Ca
- M••••• S•••••• • C•• L•• unclassifiedJul 11, 2008 to Jun 1, 2009 · Santa Monica, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 4, 2008 to Jul 15, 2008 · Beverly Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Feb 7, 2008 · Beverly Hills, Ca
- M••••• S•••••• D• I••• unclassifiedMay 22, 2006 to Apr 2, 2007 · Beverly Hills, Ca
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 1, 2006 · Los Angeles, Ca
- P••••••••• E••••• G••••• L•• unclassifiedMay 10, 1999 to Jul 1, 2003 · Los Angeles, Ca
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 5, 2022, registered Jul 1, 2022 (26 days) · Wirehouse to wirehouse
- T•• R••••••••• S••••••• L•• to J••• M••••• S••••••••• L••left Aug 10, 2021, registered Sep 21, 2021 (42 days) · RIA to wirehouse
- M••••• S•••••• to T•• R••••••••• S••••••• L••left Jun 26, 2020, registered Jan 27, 2021 (215 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Jul 15, 2008, registered Jul 11, 2008 (-4 days) · Other
- M••••• S•••••• • C•• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 7, 2008, registered Feb 4, 2008 (-3 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to M••••• S•••••• D• I•••left May 1, 2006, registered May 22, 2006 (21 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C•••••• A••• L••••••••• left J••• M••••• S••••••••• L•• for W•••• F•••• A••••••• (registered 2022-07-01)Jun 5, 2022 · Advisor changed firm · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address