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.
C••• A••• B••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Everson, Wa
- P•••••• W••• F•••••••• C••••••••• I•• formerMar 9, 2010 to Feb 28, 2012 · Renton, Wa
- S•• I••••••••• I••• formerJun 27, 2008 to Mar 10, 2010 · Bellingham, Wa
- E••••• J•••• national BDOct 18, 2007 to Jul 1, 2008 · Ferndale, Wa
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• I••••••••• A••••••• L••left Feb 28, 2012, registered Mar 21, 2024 (4405 days) · Other
- S•• I••••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Mar 10, 2010, registered Mar 9, 2010 (-1 days) · Other
- E••••• J•••• to S•• I••••••••• I•••left Jul 1, 2008, registered Jun 27, 2008 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address