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.
B•••• E••• B•••••
- D••• D••••••• • C•• independent RIA currentsince Sep 23, 2024 · Kalispell, Mt
- C•••••• S••••• • C••• I••• national BDJan 23, 2017 to Feb 22, 2017 · Redmond, Wa
- R•••••• I••••••••• asset managerSep 6, 2013 to Sep 6, 2016 · Seattle, Wa
- U••• B•••••• I••••••••• I••• formerDec 1, 2009 to Aug 26, 2013 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 17, 2009 · Bellevue, Wa
- W••• I••••••••• I••• unclassifiedAug 8, 2003 to May 2, 2009 · Sammamish, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 7, 2002 to Jun 27, 2003 · Seattle, Wa
- C•••••• S••••• • C••• I••• to D••• D••••••• • C••left Feb 22, 2017, registered Sep 23, 2024 (2770 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• I••••••••• to C•••••• S••••• • C••• I•••left Sep 6, 2016, registered Jan 23, 2017 (139 days) · Other · moved with a team
- U••• B•••••• I••••••••• I••• to R•••••• I•••••••••left Aug 26, 2013, registered Sep 6, 2013 (11 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••left Nov 17, 2009, registered Dec 1, 2009 (14 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Jun 27, 2003, registered Aug 8, 2003 (42 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