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.
S••••• D••••• P•••••
- 1•• W••••• A•••••••• L•• independent RIA currentsince Apr 7, 2017 · Federal Way, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 6, 2002 to Apr 11, 2017 · Tacoma, Wa
- M••••• S•••••• D• I••• unclassifiedMar 14, 2001 to Oct 3, 2002 · Tacoma, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to 1•• W••••• A•••••••• L••left Apr 11, 2017, registered Apr 7, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 3, 2002, registered Sep 6, 2002 (-27 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address