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.
R••••• J••• G•••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 29, 2022 · Tukwila, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedNov 5, 2015 to Mar 31, 2022 · Tacoma, Wa
- S•••••• P••••••• I••••••••• S••••••••• L•• formerSep 8, 2015 to Oct 30, 2015 · Mercer Island, Wa
- L•• F•••••••• L•• BD affiliatedOct 18, 2011 to Sep 9, 2015 · Issaquah, Wa
- H••• S••••••••• •••• I••• BD affiliatedJul 19, 2010 to Oct 20, 2011 · Mercer Island, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 4, 2009 · Seattle, Wa
- W••• I••••••••• I••• unclassifiedAug 23, 2004 to May 2, 2009 · Kent, Wa
- M••••• S•••••• D• I••• unclassifiedOct 8, 2002 to Aug 6, 2004 · Seattle, Wa
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left Mar 31, 2022, registered Mar 29, 2022 (-2 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••••• P••••••• I••••••••• S••••••••• L•• to K•• I••••••••• S••••••• L••left Oct 30, 2015, registered Nov 5, 2015 (6 days) · Other
- L•• F•••••••• L•• to S•••••• P••••••• I••••••••• S••••••••• L••left Sep 9, 2015, registered Sep 8, 2015 (-1 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Oct 20, 2011, registered Oct 18, 2011 (-2 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Nov 4, 2009, registered Jul 19, 2010 (257 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to W••• I••••••••• I•••left Aug 6, 2004, registered Aug 23, 2004 (17 days) · Other
- R••••• J••• G••••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2022-03-29)Mar 31, 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
- 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