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.
D••••• C•••• B••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Vancouver, Wa
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Jun 14, 2024 · Vancouver, Wa
- K•• F•••••••• S•••••••• I•• formerOct 12, 2018 to Nov 6, 2020 · Vancouver, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Oct 17, 2018 · Vancouver, Wa
- M•• F•••••••• S•••••••• I••• formerNov 30, 2005 to Mar 25, 2017 · Hillsboro, Or
- M•••••• I••••••••• F••• S••••••• L•• unclassifiedNov 20, 2001 to Jan 4, 2006 · Alpharettta, Ga
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to K•• F•••••••• S•••••••• I••left Oct 17, 2018, registered Oct 12, 2018 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• I••••••••• F••• S••••••• L•• to M•• F•••••••• S•••••••• I•••left Jan 4, 2006, registered Nov 30, 2005 (-35 days) · corporate re-registration, not a move
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address