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.
H•••• S••••••• S••••
- I••••••••• W••••• C••••••• L•• independent RIA currentsince Nov 13, 2019 · Gig Harbor, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDAug 19, 2011 to Nov 12, 2019 · Bellevue, Wa
- 1•• G••••• A••••••• I•• formerApr 30, 2010 to Aug 31, 2011 · Bremerton, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDSep 10, 2001 to Apr 22, 2010 · Honolulu, Hi
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• W••••• C••••••• L••left Nov 12, 2019, registered Nov 13, 2019 (1 days) · Affiliated broker-dealer or bank to independent RIA
- 1•• G••••• A••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Aug 31, 2011, registered Aug 19, 2011 (-12 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to 1•• G••••• A••••••• I••left Apr 22, 2010, registered Apr 30, 2010 (8 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