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.
W•••• C•••••• B•••
- T•••••••• A•••• M••••••••• independent RIA currentsince May 16, 2025 · La Conner, Wa
- M•••• W••••• A••••••• L•• independent RIAJan 6, 2022 to Apr 9, 2025 · Bellingham, Wa
- M•••• W••••• A••••••• L•• independent RIAAug 9, 2013 to Dec 31, 2021 · San Rafael, Ca
- L•••••• S•• I••••••••• A•••••••• L••••• BD affiliatedJun 7, 2013 to May 1, 2019 · San Rafael, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 28, 2013 · San Rafael, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · San Rafael, Ca
- M••••• S•••••• D• I••• unclassifiedMay 7, 2001 to Apr 2, 2007 · San Rafael, Ca
- M•••• W••••• A••••••• L•• to T•••••••• A•••• M•••••••••left Apr 9, 2025, registered May 16, 2025 (37 days) · RIA to RIA
- L•••••• S•• I••••••••• A•••••••• L••••• to M•••• W••••• A••••••• L••left May 1, 2019, registered Aug 9, 2013 (-2091 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to L•••••• S•• I••••••••• A•••••••• L•••••left Jun 28, 2013, registered Jun 7, 2013 (-21 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••• C•••••• B••• left M•••• W••••• A••••••• L•• for T•••••••• A•••• M••••••••• (registered 2025-05-16)Apr 9, 2025 · 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address