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.
R••••• E••••• H••••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 16, 2009 · Chehalis, Wa
- W•••• I••••••••• M••••••••• unclassifiedJan 10, 2011 to Dec 18, 2024 · Olympia, Wa
- L•• F•••••••• L•• BD affiliatedSep 15, 2008 to Oct 2, 2009 · Lacey, Wa
- D••• D••••••• • C•• independent RIAApr 19, 2004 to Sep 12, 2008 · Seattle, Wa
- T• A••••••••• I••• formerSep 11, 2003 to Apr 20, 2004 · Seattle, Wa
- W•••• I••••••••• M••••••••• to no registered destinationleft Dec 18, 2024 · Departure, no registered destination
- D••• D••••••• • C•• to L•• F•••••••• L••left Sep 12, 2008, registered Sep 15, 2008 (3 days) · Other
- T• A••••••••• I••• to D••• D••••••• • C••left Apr 20, 2004, registered Apr 19, 2004 (-1 days) · Other
- R••••• E••••• H•••••• no longer registered at W•••• I••••••••• M•••••••••; no later IA registration on IAPDDec 18, 2024 · Advisor departure · 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address