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.
S•••• J•••••• D•••
- A••••• C•••••• A••••••• L•• independent RIA currentsince Jul 1, 2021 · Kirkland, Wa
- A•••• P•••• A••••••• formerNov 6, 2020 to Jul 6, 2021 · Kirkland, Wa
- K•• F•••••••• S•••••••• I•• formerDec 5, 2017 to Nov 6, 2020 · Kirkland, Wa
- F••• formerApr 16, 1999 to Dec 5, 2017 · Boca Raton, Fl
- A•••• P•••• A••••••• to A••••• C•••••• A••••••• L••left Jul 6, 2021, registered Jul 1, 2021 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- K•• F•••••••• S•••••••• I•• to A•••• P•••• A•••••••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · channel change inside one enterprise, not a move · moved with a team
- F••• to K•• F•••••••• S•••••••• I••left Dec 5, 2017, registered Dec 5, 2017 (0 days) · Other · moved with a team
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address