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.
L•••••• P••• K•••••••
- M•••• F•••••••• A••••••• BD affiliated currentsince Oct 6, 2022 · Alpharetta, Ga
- T•••• I••••••••• M••••••••• formerJan 10, 2019 to Oct 5, 2022 · Tacoma, Wa
- U••• B•••••• I••••••••• I••• formerJul 30, 2012 to Jan 8, 2019 · Spanway, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Aug 1, 2012 · Tacoma, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 26, 2008 to Oct 23, 2009 · Tacoma, Wa
- E••••• J•••• national BDNov 8, 2006 to Sep 30, 2008 · Tacoma, Wa
- T•••• I••••••••• M••••••••• to M•••• F•••••••• A•••••••left Oct 5, 2022, registered Oct 6, 2022 (1 days) · RIA to RIA · moved with a team
- U••• B•••••• I••••••••• I••• to T•••• I••••••••• M•••••••••left Jan 8, 2019, registered Jan 10, 2019 (2 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••left Aug 1, 2012, registered Jul 30, 2012 (-2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- E••••• J•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 30, 2008, registered Sep 26, 2008 (-4 days) · Other
- L•••••• P••• K••••••• left T•••• I••••••••• M••••••••• for M•••• F•••••••• A••••••• (registered 2022-10-06)Oct 5, 2022 · Advisor changed firm · fact
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