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•••••• D•••• S••••
- M•••••• F•••••••• • C••• independent RIA currentsince Nov 19, 2020 · Everett, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 2, 2020 · Lynnwood, Wa
- C••••• I••••••••• S••••••• L•• formerFeb 22, 2013 to Jan 21, 2014 · Lynwood, Wa
- I••••••••• C•••••• O• A••••••• I••• formerMar 15, 2004 to Apr 30, 2012 · Kalispell, Mt
- C••••• I••••••••• A••••••• L•• to M•••••• F•••••••• • C•••left Nov 2, 2020, registered Nov 19, 2020 (17 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- I••••••••• C•••••• O• A••••••• I••• to C••••• I••••••••• S••••••• L••left Apr 30, 2012, registered Feb 22, 2013 (298 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address