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••••• M••••••••
- M••••• S•••••• wirehouse currentsince Oct 7, 2011 · Bonney Lake, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2006 to Oct 12, 2011 · Tacoma, Wa
- P•••• S•••••• • C•• institutionalSep 9, 2002 to Jun 28, 2006 · Tacoma, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 12, 2011, registered Oct 7, 2011 (-5 days) · Wirehouse to wirehouse
- P•••• S•••••• • C•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2006, registered Jun 23, 2006 (-5 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address