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.
D••••• D••••••••
- A••••••• F••••••••• L••• BD affiliated currentsince Jul 25, 2023 · Orting, Wa
- P••• R• R••• F•••••••• G••••• L•• independent RIAAug 16, 2018 to Sep 13, 2022 · Bellevue, Wa
- C••••• A•••••• N••••••• L•• formerMar 28, 2018 to Sep 13, 2022 · Bellevue, Wa
- C••••• A•••••• N••••••• L•• to P••• R• R••• F•••••••• G••••• L••left Sep 13, 2022, registered Aug 16, 2018 (-1489 days) · Other
- P••• R• R••• F•••••••• G••••• L•• to A••••••• F••••••••• L•••left Sep 13, 2022, registered Jul 25, 2023 (315 days) · RIA to affiliated broker-dealer or bank
- D••••• D•••••••• left P••• R• R••• F•••••••• G••••• L•• for A••••••• F••••••••• L••• (registered 2023-07-25)Sep 13, 2022 · a•••••• firm change · fact
- D••••• D•••••••• left C••••• A•••••• N••••••• L•• for P••• R• R••• F•••••••• G••••• L•• (registered 2018-08-16)Sep 13, 2022 · a•••••• firm change · 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