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.
C••••• T••• H••••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Nov 8, 2012 · Kennewick, Wa
- P•••••• C•••• P•••••••• I••• unclassifiedMay 5, 2014 to Dec 31, 2014 · Kennewick, Wa
- H• B•••• I••• formerAug 20, 2007 to Nov 26, 2012 · Kennewick, Wa
- C••••• A••••••• L•• formerJul 18, 2007 to Aug 28, 2007 · Greenwood Village, Co
- L••••• A••••••• S•••••••• I••• unclassifiedMay 3, 2006 to Jul 18, 2007 · Kennewick, Wa
- P•••••• C•••• P•••••••• I••• to no registered destinationleft Dec 31, 2014 · Departure, no registered destination
- H• B•••• I••• to C•••••••• F••••••••• I•••left Nov 26, 2012, registered Nov 8, 2012 (-18 days) · Other
- C••••• A••••••• L•• to H• B•••• I•••left Aug 28, 2007, registered Aug 20, 2007 (-8 days) · Other
- L••••• A••••••• S•••••••• I••• to C••••• A••••••• L••left Jul 18, 2007, registered Jul 18, 2007 (0 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address