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.
J••••••• H••••••••• A••••
- M•••••• BD affiliated currentsince Apr 28, 2022 · Bellevue, Wa
- A••••• A•• P••••••• S••••••• BD affiliatedFeb 27, 2013 to Mar 23, 2022 · Bellevue, Wa
- A••••• A•• P••••••• S••••••• BD affiliatedApr 4, 2005 to Apr 25, 2011 · Seattle, Wa
- T•••••••• T•••• C••••••• F•• unclassifiedJul 10, 2003 to Apr 4, 2005 · St. Louis, Mo
- A••••• A•• P••••••• S••••••• to M••••••left Mar 23, 2022, registered Apr 28, 2022 (36 days) · Affiliated broker-dealer or bank to another · moved with a team
- T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Apr 4, 2005, registered Apr 4, 2005 (0 days) · Other
- J••••••• H••••••••• A•••• left A••••• A•• P••••••• S••••••• for Mariner (registered 2022-04-28)Mar 23, 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