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.
R•••• S••••• G•••••
- C•••••• A••••••• BD affiliated currentsince Oct 28, 2021 · Renton, Wa
- L•••••• I••••••••• independent RIA currentsince Dec 2, 2013 · Edmonds, Wa
- F••••••••• S••••••••• unclassifiedJun 11, 2012 to Dec 31, 2014 · Edmonds, Wa
- M•••••• A••••• S••••••••• L•• BD affiliatedAug 18, 2009 to Oct 31, 2013 · Edmonds, Wa
- F••••••••• S••••••••• unclassifiedJun 5, 2002 to Dec 31, 2009 · Edmonds, Wa
- F••••••••• S••••••••• to L•••••• I•••••••••left Dec 31, 2014, registered Dec 2, 2013 (-394 days) · Other
- M•••••• A••••• S••••••••• L•• to F••••••••• S•••••••••left Oct 31, 2013, registered Jun 11, 2012 (-507 days) · Other
- F••••••••• S••••••••• to M•••••• A••••• S••••••••• L••left Dec 31, 2009, registered Aug 18, 2009 (-135 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