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.
I••••• G• C•••••
- O•••• W•••••• I••• BD affiliated currentsince Jul 20, 2022 · East Wenatchee, Wa
- L•• F•••••••• L•• BD affiliatedJul 21, 2021 to Jul 22, 2022 · Kennewick, Wa
- W•••••• • R••• formerMay 12, 2014 to Jul 21, 2021 · Kennewick, Wa
- R•• C•••••• M••••••• L•• national BDMay 21, 2012 to May 29, 2014 · Richland, Wa
- L•• F•••••••• L•• to O•••• W•••••• I•••left Jul 22, 2022, registered Jul 20, 2022 (-2 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to W•••••• • R•••left May 29, 2014, registered May 12, 2014 (-17 days) · Other
- I••••• G• C••••• left L•• F•••••••• L•• for O•••• W•••••• I••• (registered 2022-07-20)Jul 22, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address