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.
L••••• L•••• M•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 3, 2023 · Kennewick, Wa
- R•• C•••••• M••••••• L•• national BDOct 31, 2019 to Nov 24, 2023 · Richland, Wa
- C•••••••• F••••••••• I••• BD affiliatedMay 2, 2013 to Oct 31, 2019 · Kennewick, Wa
- L••••• L• M••• D•• M••• I••••••••• unclassifiedApr 22, 2010 to Jun 6, 2011 · Prosser, Wa
- R•• C•••••• M••••••• L•• national BDMay 18, 2007 to Apr 3, 2008 · Portland, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 14, 2007 to Jun 9, 2007 · Portland, Or
- R•• C•••••• M••••••• L•• national BDMay 15, 2006 to May 17, 2007 · Portland, Or
- R•• C•••••• M••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 24, 2023, registered Nov 3, 2023 (-21 days) · Affiliated broker-dealer or bank to another · moved with a team
- C•••••••• F••••••••• I••• to R•• C•••••• M••••••• L••left Oct 31, 2019, registered Oct 31, 2019 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L••••• L• M••• D•• M••• I••••••••• to C•••••••• F••••••••• I•••left Jun 6, 2011, registered May 2, 2013 (696 days) · Other
- R•• C•••••• M••••••• L•• to L••••• L• M••• D•• M••• I•••••••••left Apr 3, 2008, registered Apr 22, 2010 (749 days) · Other
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Jun 9, 2007, registered May 18, 2007 (-22 days) · Other
- R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••left May 17, 2007, registered May 14, 2007 (-3 days) · Other
- L••••• L•••• M••• left R•• C•••••• M••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-11-03)Nov 24, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address