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.
C•••••••• S•• L••
- D••• D••••••• • C•• independent RIA currentsince Nov 15, 2021 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedJul 20, 2020 to Nov 18, 2021 · Redmond, Wa
- K••••• A••••••• S•••••••• L•• BD affiliatedDec 5, 2018 to Jul 21, 2020 · Redmond, Wa
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Mar 4, 2005 · Philadelphia, Pa
- J••••• H•••••••• W••• L••••• L•• formerAug 13, 2003 to Jan 1, 2004 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 13, 2003 to Jun 23, 2003 · Vancouver, Wa
- N•• E•••••• S••••••••• C••••••••• formerNov 21, 2002 to Jan 3, 2003 · Seattle, Wa
- L•• F•••••••• L•• to D••• D••••••• • C••left Nov 18, 2021, registered Nov 15, 2021 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- K••••• A••••••• S•••••••• L•• to L•• F•••••••• L••left Jul 21, 2020, registered Jul 20, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to K••••• A••••••• S•••••••• L••left Mar 4, 2005, registered Dec 5, 2018 (5024 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to J••••• H•••••••• W••• L••••• L••left Jun 23, 2003, registered Aug 13, 2003 (51 days) · Other
- N•• E•••••• S••••••••• C••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 3, 2003, registered Jan 13, 2003 (10 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address