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.
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- M•••• A•••••••• I••• former currentsince Jun 21, 2017 · Glendale, Az
- S•••••• A••••••• G••••• L•• independent RIAFeb 2, 2024 to Jul 25, 2024 · Bellevue, Wa
- H•• A••••••• S••••••• L•• independent RIAJun 2, 2016 to Jun 13, 2017 · Phoenix, Az
- S•• A•••••••• I••• formerFeb 7, 2008 to Dec 31, 2010 · Bellevue, Wa
- M•••• A•••••••• I••• formerApr 19, 2007 to May 25, 2016 · Glendale, Az
- S•• A•••••••• I••• formerFeb 6, 2004 to Dec 31, 2007 · Bellvue, Wa
- H•••••• T••••••• • K•••• L•• independent RIAJan 13, 2003 to Feb 4, 2004 · Bellevue, Wa
- S•••••• A••••••• G••••• L•• to no registered destinationleft Jul 25, 2024 · Departure, no registered destination
- H•• A••••••• S••••••• L•• to M•••• A•••••••• I•••left Jun 13, 2017, registered Jun 21, 2017 (8 days) · Other
- M•••• A•••••••• I••• to S•• A•••••••• I•••left May 25, 2016, registered Feb 7, 2008 (-3030 days) · Other
- S•• A•••••••• I••• to H•• A••••••• S••••••• L••left Dec 31, 2010, registered Jun 2, 2016 (1980 days) · Other
- S•• A•••••••• I••• to M•••• A•••••••• I•••left Dec 31, 2007, registered Apr 19, 2007 (-256 days) · Other
- H•••••• T••••••• • K•••• L•• to S•• A•••••••• I•••left Feb 4, 2004, registered Feb 6, 2004 (2 days) · Other
- S••• D•••• M•••• no longer registered at S•••••• A••••••• G••••• L••; no later IA registration on IAPDJul 25, 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
- Former SEC-registered adviserderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address