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••••• G••••• R•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 1, 2020 · Port Angeles, Wa
- E• R•••• I••••••••• L•• formerNov 16, 2007 to Nov 6, 2020 · Seattle, Wa
- F•••• A••••• S••••••••• I••• formerMay 17, 2004 to Nov 16, 2007 · Port Angeles, Wa
- R•••• M•••••••• I••••••••• S•••••••• L•• unclassifiedJun 19, 2001 to May 17, 2004 · Port Angeles, Wa
- E• R•••• I••••••••• L•• to L•• F•••••••• L••left Nov 6, 2020, registered Oct 1, 2020 (-36 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to E• R•••• I••••••••• L••left Nov 16, 2007, registered Nov 16, 2007 (0 days) · Other
- R•••• M•••••••• I••••••••• S•••••••• L•• to F•••• A••••• S••••••••• I•••left May 17, 2004, registered May 17, 2004 (0 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