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.
J•• A••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 2, 2019 · Tekoa, Wa
- V•••••• W••• S••••••••• unclassifiedSep 27, 2011 to Dec 30, 2013 · Spokane, Wa
- V•••••• W••• A•••••••• I••• independent RIAAug 14, 2010 to Dec 2, 2019 · Spokane, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 6, 2002 to Oct 7, 2005 · Spokane, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 9, 1998 to Sep 11, 2002 · Spokane, Wa
- V•••••• W••• A•••••••• I••• to V•••••• W••• S•••••••••left Dec 2, 2019, registered Sep 27, 2011 (-2988 days) · Other
- V•••••• W••• S••••••••• to L•• F•••••••• L••left Dec 30, 2013, registered Dec 2, 2019 (2163 days) · Other
- C•••••••• G••••• M•••••• I••• to V•••••• W••• A•••••••• I•••left Oct 7, 2005, registered Aug 14, 2010 (1772 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Sep 11, 2002, registered Sep 6, 2002 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address