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.
K•••••• N• D••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 21, 2022 · New York, Ny
- L•••••• I••••••••• independent RIAOct 4, 2021 to Sep 28, 2022 · University Place, Wa
- U•• F•••••••• S••••••• I••• wirehouseDec 5, 2006 to Nov 22, 2019 · Seattle, Wa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 28, 2006 to Oct 17, 2006 · Seattle, Wa
- A••••••••• B•••••• F•••••••• S••••••• I•• formerJun 14, 2005 to Dec 6, 2007 · Bellevue, Wa
- L•••••• I••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2022, registered Dec 21, 2022 (84 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to L•••••• I•••••••••left Nov 22, 2019, registered Oct 4, 2021 (682 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• B•••••• F•••••••• S••••••• I•• to R•••••• J•••• F•••••••• S•••••••• I•••left Dec 6, 2007, registered Apr 28, 2006 (-587 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 17, 2006, registered Dec 5, 2006 (49 days) · Other
- K•••••• N• D•••• left L•••••• I••••••••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-21)Sep 28, 2022 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address