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•••••• R••••• O••••••
- D••• D••••••• • C•• independent RIA currentsince Sep 3, 2013 · Bellevue, Wa
- W•••••• • R••• formerOct 31, 2012 to Sep 10, 2013 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 2, 2009 to Jan 7, 2012 · Seattle, Wa
- D••• D••••••• • C•• independent RIAMay 23, 2002 to Sep 4, 2007 · Redmond, Wa
- W•••••• • R••• to D••• D••••••• • C••left Sep 10, 2013, registered Sep 3, 2013 (-7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Jan 7, 2012, registered Oct 31, 2012 (298 days) · Other
- D••• D••••••• • C•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 4, 2007, registered Sep 2, 2009 (729 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