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.
A••• Q•••••• Z••••••••
- C••••••• R•••• A••••••• independent RIA currentsince Jun 15, 2016 · Bellevue, Wa
- B••• M••• W••••• A•••••••• L••• unclassifiedOct 27, 2014 to Dec 7, 2016 · Bellevue, Wa
- S••••• A•••• S••••••••• W••••• M••••••••• L•• formerFeb 17, 2014 to Sep 9, 2014 · Bellevue, Wa
- S••••• A•••• S••••••••• W••••• M••••••••• L•• formerJun 8, 2010 to Dec 31, 2013 · Bellevue, Wa
- A••••••• R••••••• G••••• L•• unclassifiedSep 25, 2009 to Jun 3, 2010 · Bellevue, Wa
- H•••••• T••••••• • K•••• L•• independent RIAFeb 11, 2004 to Jun 18, 2010 · Renton, Wa
- B••• M••• W••••• A•••••••• L••• to C••••••• R•••• A•••••••left Dec 7, 2016, registered Jun 15, 2016 (-175 days) · Other
- S••••• A•••• S••••••••• W••••• M••••••••• L•• to B••• M••• W••••• A•••••••• L•••left Sep 9, 2014, registered Oct 27, 2014 (48 days) · Other
- H•••••• T••••••• • K•••• L•• to A••••••• R••••••• G••••• L••left Jun 18, 2010, registered Sep 25, 2009 (-266 days) · Other
- A••••••• R••••••• G••••• L•• to S••••• A•••• S••••••••• W••••• M••••••••• L••left Jun 3, 2010, registered Jun 8, 2010 (5 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