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.
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- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Lynnwood, Wa
- P•••• S••••••••• L•• no RAUMMar 10, 2020 to Nov 14, 2024 · Mercer Island, Wa
- P••• A••••• S••••••••• L•• BD affiliatedAug 22, 2019 to Apr 9, 2020 · Bothell, Wa
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 22, 2011 to Jun 19, 2019 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Mar 9, 2010 · Everett, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2008 to Oct 23, 2009 · Everett, Wa
- P•••• S••••••••• L•• no RAUMNov 2, 2004 to Oct 27, 2008 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDMar 30, 2004 to Aug 11, 2004 · Seattle, Wa
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Apr 9, 2020, registered Mar 10, 2020 (-30 days) · Affiliated broker-dealer or bank to another
- A••••••• F•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••left Jun 19, 2019, registered Aug 22, 2019 (64 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• F•••••••• A•••••••• L••left Mar 9, 2010, registered Sep 22, 2011 (562 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 27, 2008, registered Oct 24, 2008 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Aug 11, 2004, registered Nov 2, 2004 (83 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address