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•••••• D•••• F••••
- C••••••• A••••••• P•••••••• L•• independent RIA currentsince May 30, 2018 · Spokane, Wa
- M•••••• A•••••• N•••••• BD affiliatedMar 15, 2017 to May 31, 2018 · Spokane, Wa
- C••••••• A••••••• P•••••••• L•• unclassifiedJun 6, 2014 to Apr 30, 2018 · Spokane, Wa
- C•• F•••••••• G•••• L•• unclassifiedJul 24, 2013 to Dec 1, 2014 · Spokane, Wa
- C••••••••• W••••• A•••••••• L•• BD affiliatedDec 1, 2010 to Jul 23, 2013 · Minneapolis, Mn
- P••••••• I••••••••• A•••••••• L•• unclassifiedNov 17, 2006 to Dec 21, 2010 · Spokane, Wa
- M•••••• A•••••• N•••••• to C••••••• A••••••• P•••••••• L••left May 31, 2018, registered May 30, 2018 (-1 days) · RIA to RIA
- C••••••• A••••••• P•••••••• L•• to M•••••• A•••••• N••••••left Apr 30, 2018, registered Mar 15, 2017 (-411 days) · Other
- C•• F•••••••• G•••• L•• to C••••••• A••••••• P•••••••• L••left Dec 1, 2014, registered Jun 6, 2014 (-178 days) · Other
- C••••••••• W••••• A•••••••• L•• to C•• F•••••••• G•••• L••left Jul 23, 2013, registered Jul 24, 2013 (1 days) · Other
- P••••••• I••••••••• A•••••••• L•• to C••••••••• W••••• A•••••••• L••left Dec 21, 2010, registered Dec 1, 2010 (-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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address