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.
M••••••• R•••• J••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Spokane Valley, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerDec 10, 2018 to Mar 13, 2023 · Wenatchee, Wa
- F•••••••• M••••••••• I••• formerDec 3, 2015 to Oct 2, 2018 · East Wenatchee, Wa
- L•• F•••••••• L•• BD affiliatedSep 4, 2012 to Oct 28, 2022 · East Wenatchee, Wa
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 17, 2004 to Sep 13, 2012 · Renton, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to C••••• I••••••••• A••••••• L••left Mar 13, 2023, registered Mar 21, 2024 (374 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to F•••••••• M••••••••• I•••left Oct 28, 2022, registered Dec 3, 2015 (-2521 days) · Other
- F•••••••• M••••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Oct 2, 2018, registered Dec 10, 2018 (69 days) · RIA to RIA
- V•••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 13, 2012, registered Sep 4, 2012 (-9 days) · Other
- M••••••• R•••• J•••• left F•••••••• A•••••••• I••••••••• M••••••••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Mar 13, 2023 · Advisor changed firm · fact
- M••••••• R•••• J•••• left L•• F•••••••• L•• for F•••••••• M••••••••• I••• (registered 2015-12-03)Oct 28, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address