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••• E•••• N••••••
- D••• D••••••• • C•• independent RIA currentsince Nov 1, 2010 · Bellevue, Wa
- W•••• F•••• I••••••••• L•• unclassifiedFeb 20, 2004 to Nov 9, 2010 · Bellevue, Wa
- U•• F•••••••• S••••••• I••• wirehouseOct 1, 2001 to Mar 11, 2004 · Bellevue, Wa
- W•••• F•••• I••••••••• L•• to D••• D••••••• • C••left Nov 9, 2010, registered Nov 1, 2010 (-8 days) · Other
- U•• F•••••••• S••••••• I••• to W•••• F•••• I••••••••• L••left Mar 11, 2004, registered Feb 20, 2004 (-20 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