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.
N•••• A••• D•••• H•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 5, 2022 · Gig Harbor, Wa
- E•• F•••••••• A••••••• independent RIAApr 4, 2019 to Aug 5, 2022 · Gig Harbor, Wa
- R•• C•••••• M••••••• L•• national BDNov 11, 2014 to Apr 9, 2019 · Tacoma, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 21, 2013 to Nov 12, 2014 · San Francisco, Ca
- P•••• S••••••••• L•• no RAUMApr 13, 2006 to Jul 23, 2013 · Mercer Island, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 9, 1999 to Jul 11, 2003 · Kalispell, Mt
- E•• F•••••••• A••••••• to L•• F•••••••• L••left Aug 5, 2022, registered Aug 5, 2022 (0 days) · Affiliated broker-dealer or bank to independent RIA
- R•• C•••••• M••••••• L•• to E•• F•••••••• A•••••••left Apr 9, 2019, registered Apr 4, 2019 (-5 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to R•• C•••••• M••••••• L••left Nov 12, 2014, registered Nov 11, 2014 (-1 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jul 23, 2013, registered Aug 21, 2013 (29 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left Jul 11, 2003, registered Apr 13, 2006 (1007 days) · Other
- N•••• A••• D•••• H••••• left E•• F•••••••• A••••••• for L•• F•••••••• L•• (registered 2022-08-05)Aug 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
- 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