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.
J•••• R•••••• S•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Aug 24, 2021 · Seattle, Wa
- R•••••• F•••••••• G••••• I••• formerNov 2, 2018 to Aug 17, 2021 · Seattle, Wa
- L•• F•••••••• L•• BD affiliatedNov 1, 2018 to Nov 1, 2018 · Seattle, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJun 6, 2017 to Oct 29, 2018 · Seattle, Wa
- W•• I••••••••• I••• formerApr 27, 2007 to Jul 29, 2016 · Seattle, Wa
- B••••••• G•••• L•• unclassifiedOct 1, 1998 to Jan 31, 2005 · Seattle, Wa
- R•••••• F•••••••• G••••• I••• to B••••• P••••• A•••••••• L••left Aug 17, 2021, registered Aug 24, 2021 (7 days) · RIA to RIA · moved with a team
- L•• F•••••••• L•• to R•••••• F•••••••• G••••• I•••left Nov 1, 2018, registered Nov 2, 2018 (1 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 29, 2018, registered Nov 1, 2018 (3 days) · Affiliated broker-dealer or bank to independent RIA
- W•• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 29, 2016, registered Jun 6, 2017 (312 days) · Other
- B••••••• G•••• L•• to W•• I••••••••• I•••left Jan 31, 2005, registered Apr 27, 2007 (816 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address