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.
W••• A• D••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jan 9, 2018 · Minneapolis, Mn
- F•••••••• A•••••••• I••••••••• M••••••••• formerDec 8, 2014 to Dec 31, 2017 · Stanwood, Wa
- L•• F•••••••• L•• BD affiliatedOct 30, 2009 to Oct 28, 2015 · Stanwood, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 24, 2006 to Nov 3, 2009 · Everett, Wa
- U•• F•••••••• S••••••• I••• wirehouseJun 21, 2002 to Feb 24, 2004 · Grand Forks, Nd
- F•••••••• A•••••••• I••••••••• M••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2017, registered Jan 9, 2018 (9 days) · Other
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Oct 28, 2015, registered Dec 8, 2014 (-324 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Nov 3, 2009, registered Oct 30, 2009 (-4 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 24, 2004, registered Jan 24, 2006 (700 days) · Wirehouse to wirehouse
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