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••• P•••• S••••••
- S•••• F••• I••••••••• M••••••••• C•••• asset manager currentsince Jun 30, 2022 · Edmonds, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 16, 2020 to Oct 18, 2021 · Lake Oswego, Or
- P•••• S••••••••• L•• no RAUMJan 16, 2018 to Jun 5, 2019 · Mercer Island, Wa
- E•••••••• A••••••• formerNov 21, 2016 to Mar 6, 2017 · Bellevue, Wa
- F•••••••• A•••••••• L•• institutionalNov 21, 2016 to Mar 6, 2017 · Sammamish, Wa
- G•••••• C•••••• L•• formerApr 28, 2014 to May 29, 2015 · Bellevue, Wa
- S•• formerApr 24, 2014 to May 29, 2015 · Bellevue, Wa
- M•••• I••••••••• L•• unclassifiedOct 16, 2013 to Mar 24, 2014 · Tacoma, Wa
- L•• F•••••••• I••• formerMay 25, 2011 to Dec 20, 2011 · San Jose, Ca
- T•••• formerJun 9, 2010 to Apr 28, 2011 · Bellevue, Wa
- R•••••• I••••••••• asset managerDec 12, 2007 to Dec 1, 2008 · Seattle, Wa
- M•• I•••••••• S•••••••• L•• to S•••• F••• I••••••••• M••••••••• C••••left Oct 18, 2021, registered Jun 30, 2022 (255 days) · Other
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Jun 5, 2019, registered Jan 16, 2020 (225 days) · Affiliated broker-dealer or bank to another
- F•••••••• A•••••••• L•• to E•••••••• A•••••••left Mar 6, 2017, registered Nov 21, 2016 (-105 days) · channel change inside one enterprise, not a move
- E•••••••• A••••••• to P•••• S••••••••• L••left Mar 6, 2017, registered Jan 16, 2018 (316 days) · Other
- G•••••• C•••••• L•• to F•••••••• A•••••••• L••left May 29, 2015, registered Nov 21, 2016 (542 days) · Other
- S•• to G•••••• C•••••• L••left May 29, 2015, registered Apr 28, 2014 (-396 days) · Other
- M•••• I••••••••• L•• to S••left Mar 24, 2014, registered Apr 24, 2014 (31 days) · Other
- L•• F•••••••• I••• to M•••• I••••••••• L••left Dec 20, 2011, registered Oct 16, 2013 (666 days) · Other
- T•••• to L•• F•••••••• I•••left Apr 28, 2011, registered May 25, 2011 (27 days) · Other
- R•••••• I••••••••• to T••••left Dec 1, 2008, registered Jun 9, 2010 (555 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address