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.
D••••• D•••• B••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Lynnwood, Wa
- W•••••• • R••• formerJul 1, 2010 to Jul 21, 2021 · Seattle, Wa
- D••• D••••••• • C•• independent RIAAug 22, 2008 to Jul 6, 2010 · Everett, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Sep 8, 2008 · Everett, Wa
- P•••• S•••••• • C•• institutionalMar 8, 2005 to Aug 12, 2006 · Everett, Wa
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- D••• D••••••• • C•• to W•••••• • R•••left Jul 6, 2010, registered Jul 1, 2010 (-5 days) · Other
- U•• F•••••••• S••••••• I••• to D••• D••••••• • C••left Sep 8, 2008, registered Aug 22, 2008 (-17 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address