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.
J••••••• A••• E••••• C••••••
- G•••• C••••••• L•• independent RIA currentsince Apr 16, 2019 · Tacoma, Wa
- W•••• F•••• A••••••• wirehouseApr 20, 2011 to Apr 24, 2019 · Tacoma, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 25, 2007 to Apr 25, 2011 · Tacoma, Wa
- M••••• S•••••• D• I••• unclassifiedApr 28, 2005 to Jun 19, 2006 · Tacoma, Wa
- C••••• I••••••••• S••••••• L•• formerOct 13, 2004 to Mar 9, 2005 · Tacoma, Wa
- M••••• S•••••• D• I••• unclassifiedApr 19, 2001 to Jul 16, 2003 · Tacoma, Wa
- W•••• F•••• A••••••• to G•••• C••••••• L••left Apr 24, 2019, registered Apr 16, 2019 (-8 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 25, 2011, registered Apr 20, 2011 (-5 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 19, 2006, registered Jun 25, 2007 (371 days) · Other
- C••••• I••••••••• S••••••• L•• to M••••• S•••••• D• I•••left Mar 9, 2005, registered Apr 28, 2005 (50 days) · Other
- M••••• S•••••• D• I••• to C••••• I••••••••• S••••••• L••left Jul 16, 2003, registered Oct 13, 2004 (455 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address