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•••• N••••• S•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 22, 2023 · Kirkland, Wa
- W••••••• F•••••••• S•••••••• I••• formerNov 5, 2018 to Nov 21, 2023 · Issaquah, Wa
- H•••••• T••••••• • K•••• L•• independent RIAMar 31, 2009 to Nov 13, 2018 · Bellevue, Wa
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 23, 2009 · Kirkland, Wa
- A• G• E•••••• • S•••• I••• unclassifiedJan 2, 2003 to Jan 1, 2008 · Kirkland, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 28, 2000 to Sep 30, 2002 · Everett, Wa
- W••••••• F•••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Nov 21, 2023, registered Nov 22, 2023 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• T••••••• • K•••• L•• to W••••••• F•••••••• S•••••••• I•••left Nov 13, 2018, registered Nov 5, 2018 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to H•••••• T••••••• • K•••• L••left Mar 23, 2009, registered Mar 31, 2009 (8 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• G• E•••••• • S•••• I•••left Sep 30, 2002, registered Jan 2, 2003 (94 days) · Other
- S•••• N••••• S••••• left W••••••• F•••••••• S•••••••• I••• for R•••••• J•••• • A••••••••• I••• (registered 2023-11-22)Nov 21, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address