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••••••• F••••
- E•••• S••••••••• L•• BD affiliated currentsince Oct 24, 2016 · Pasco, Wa
- L•• F•••••••• L•• BD affiliatedMay 25, 2012 to May 20, 2014 · Wenatchee, Wa
- C••••••••• W••••• A•••••••• L•• BD affiliatedDec 2, 2010 to May 15, 2012 · Kennewick, Wa
- P••••••• I••••••••• A•••••••• L•• unclassifiedFeb 1, 2010 to Dec 21, 2010 · Kennewick, Wa
- U••• B•••••• I••••••••• I••• formerJan 19, 2006 to Jan 19, 2010 · Richland, Wa
- W•••• F•••• I••••••••• L•• unclassifiedJun 1, 2004 to Jan 9, 2006 · Kennewick, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 1998 to Jun 7, 2004 · Kennewick, Wa
- L•• F•••••••• L•• to E•••• S••••••••• L••left May 20, 2014, registered Oct 24, 2016 (888 days) · Other
- C••••••••• W••••• A•••••••• L•• to L•• F•••••••• L••left May 15, 2012, registered May 25, 2012 (10 days) · Other
- P••••••• I••••••••• A•••••••• L•• to C••••••••• W••••• A•••••••• L••left Dec 21, 2010, registered Dec 2, 2010 (-19 days) · Other
- U••• B•••••• I••••••••• I••• to P••••••• I••••••••• A•••••••• L••left Jan 19, 2010, registered Feb 1, 2010 (13 days) · Other
- W•••• F•••• I••••••••• L•• to U••• B•••••• I••••••••• I•••left Jan 9, 2006, registered Jan 19, 2006 (10 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Jun 7, 2004, registered Jun 1, 2004 (-6 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