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.
- M••••• S•••••• wirehouse currentsince Jul 7, 2017 · Bellevue, Wa
- C•••••• P•••••••• L•• independent RIAJul 27, 2015 to Aug 1, 2017 · Bellevue, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 31, 2015 · Kirkland, Wa
- M••••• S•••••• • C•• L•• unclassifiedJul 17, 2008 to Jun 1, 2009 · Bellevue, Wa
- S•••••••• A••••••• L•• national BDFeb 9, 2001 to Dec 15, 2006 · Seattle, Wa
- C•••••• P•••••••• L•• to M••••• S••••••left Aug 1, 2017, registered Jul 7, 2017 (-25 days) · Other
- M••••• S•••••• to C•••••• P•••••••• L••left Jul 31, 2015, registered Jul 27, 2015 (-4 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to M••••• S•••••• • C•• L••left Dec 15, 2006, registered Jul 17, 2008 (580 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address