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.
N•••• J• L•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Aug 9, 2013 · Lacey, Wa
- N••••••• F•••••••• unclassifiedJul 6, 2021 to Feb 22, 2025 · Lacey, Wa
- M•• F•••••••• S•••••••• I••• formerSep 21, 2004 to Aug 16, 2013 · Tumwater, Wa
- P•••• S••••••••• L•• no RAUMMay 19, 2000 to Sep 20, 2004 · Seattle, Wa
- N••••••• F•••••••• to no registered destinationleft Feb 22, 2025 · Departure, no registered destination
- M•• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Aug 16, 2013, registered Aug 9, 2013 (-7 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Sep 20, 2004, registered Sep 21, 2004 (1 days) · Other
- N•••• J• L••••••• no longer registered at N••••••• F••••••••; no later IA registration on IAPDFeb 22, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address