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.
W•••••• M• S•••••
- W•• W••••• M••••••••• L•• state registered currentsince Sep 2, 2022 · Mukilteo, Wa
- S••••••••• W••••• M••••••••• L•• formerSep 7, 2018 to Dec 31, 2020 · Seattle, Wa
- E•••••• E••••• L•• BD affiliatedOct 30, 2017 to Sep 13, 2018 · Seattle, Wa
- S••••••••• W••••• M••••••••• L•• formerMay 17, 2017 to Oct 18, 2017 · Seattle, Wa
- I••••••••• F•••••••• G••••• L•• BD affiliatedFeb 17, 2012 to Apr 21, 2017 · San Diego, Ca
- P•••••• W••• F•••••••• C••••••••• I•• formerJan 31, 2003 to Feb 10, 2012 · Renton, Wa
- S••••••••• W••••• M••••••••• L•• to W•• W••••• M••••••••• L••left Dec 31, 2020, registered Sep 2, 2022 (610 days) · RIA to a state-registered adviser · moved with a team
- E•••••• E••••• L•• to S••••••••• W••••• M••••••••• L••left Sep 13, 2018, registered Sep 7, 2018 (-6 days) · Other
- S••••••••• W••••• M••••••••• L•• to E•••••• E••••• L••left Oct 18, 2017, registered Oct 30, 2017 (12 days) · Other
- I••••••••• F•••••••• G••••• L•• to S••••••••• W••••• M••••••••• L••left Apr 21, 2017, registered May 17, 2017 (26 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to I••••••••• F•••••••• G••••• L••left Feb 10, 2012, registered Feb 17, 2012 (7 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address