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•••••• J••••• B••••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Sep 5, 2018 · Wheaton, Il
- F•••••••• E••••• S•••••••• I••• formerDec 16, 2015 to Sep 7, 2018 · Newman Lake, Wa
- K•• F•••••••• S•••••••• I•• formerMay 16, 2008 to Dec 9, 2015 · Spokane, Wa
- F•••••••• E••••• S•••••••• I••• to B••••••••• C•••••• M••••••••• L••left Sep 7, 2018, registered Sep 5, 2018 (-2 days) · Affiliated broker-dealer or bank to independent RIA
- K•• F•••••••• S•••••••• I•• to F•••••••• E••••• S•••••••• I•••left Dec 9, 2015, registered Dec 16, 2015 (7 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address