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.
D••••• H••••• A••••
- C••• L•• BD affiliated currentsince Sep 12, 2018 · Kennewick, Wa
- C••••• A•••••• N••••••• L•• formerSep 12, 2018 to Sep 18, 2019 · El Segundo, Ca
- L••••••• W••••• M••••••••• L•• unclassifiedJun 19, 2014 to Oct 9, 2018 · Kennewick, 99336, Wa
- C••••• A••••••• L•• formerFeb 28, 2012 to Feb 11, 2019 · Walla Walla, Wa
- P•••••• W••• F•••••••• C••••••••• I•• formerJan 16, 2004 to Feb 28, 2012 · Walla Walla, Wa
- C••••• A•••••• N••••••• L•• to C••• L••left Sep 18, 2019, registered Sep 12, 2018 (-371 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A••••••• L•• to L••••••• W••••• M••••••••• L••left Feb 11, 2019, registered Jun 19, 2014 (-1698 days) · Other
- L••••••• W••••• M••••••••• L•• to C••••• A•••••• N••••••• L••left Oct 9, 2018, registered Sep 12, 2018 (-27 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to C••••• A••••••• L••left Feb 28, 2012, registered Feb 28, 2012 (0 days) · corporate re-registration, not a move
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