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.
M•••••• R•••• C•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 20, 2017 · Spokane, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerJun 10, 2016 to Jul 13, 2017 · Spokane Valley, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 11, 2011 to Jun 7, 2016 · Spokane, Wa
- D••• D••••••• • C•• independent RIAJun 12, 2009 to Oct 3, 2011 · Spokane, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jun 15, 2009 · Spokane, Wa
- W••• I••••••••• I••• unclassifiedApr 23, 2003 to May 2, 2009 · Spokane, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 28, 2000 to Apr 22, 2003 · Spokane, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Jul 13, 2017, registered Jun 20, 2017 (-23 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Jun 7, 2016, registered Jun 10, 2016 (3 days) · Other
- D••• D••••••• • C•• to A••••••••• F•••••••• S•••••••• L••left Oct 3, 2011, registered Oct 11, 2011 (8 days) · Other
- C•••• I••••••••• S••••••• C•••• to D••• D••••••• • C••left Jun 15, 2009, registered Jun 12, 2009 (-3 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Apr 22, 2003, registered Apr 23, 2003 (1 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address