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.
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J•••• L•••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 14, 2022 · Spokane, Wa
- T•• C•••••• W••••• A•••••••• L•• formerAug 5, 2021 to Feb 16, 2022 · Spokane, Wa
- L•• F•••••••• L•• BD affiliatedJan 25, 2019 to Jul 7, 2021 · Spokane, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 8, 2017 to Jan 25, 2019 · Spokane, Wa
- C••• F•••••••• S•••••••• L••• formerJan 3, 2017 to Jul 7, 2017 · Spokane, Wa
- L•• F•••••••• L•• BD affiliatedJul 19, 2010 to Jan 10, 2017 · Spokane, Wa
- A••••••• A••••••• S••••••• formerJul 26, 2004 to Jul 12, 2005 · Spokane, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJun 5, 1997 to Jul 13, 2004 · Spokane, Wa
- T•• C•••••• W••••• A•••••••• L•• to L•• F•••••••• L••left Feb 16, 2022, registered Sep 14, 2022 (210 days) · RIA to RIA
- L•• F•••••••• L•• to T•• C•••••• W••••• A•••••••• L••left Jul 7, 2021, registered Aug 5, 2021 (29 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Jan 25, 2019, registered Jan 25, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA
- C••• F•••••••• S•••••••• L••• to C••••• I••••••••• A••••••• L••left Jul 7, 2017, registered Aug 8, 2017 (32 days) · Other
- L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 10, 2017, registered Jan 3, 2017 (-7 days) · Other
- A••••••• A••••••• S••••••• to L•• F•••••••• L••left Jul 12, 2005, registered Jul 19, 2010 (1833 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••left Jul 13, 2004, registered Jul 26, 2004 (13 days) · Other
- J•••• L•••• D•••••• left T•• C•••••• W••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2022-09-14)Feb 16, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address