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.
P••• M•••••• K•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 23, 2025 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDJan 30, 2019 to Oct 15, 2025 · Chicago, Il
- C••••• A••••••• L•• formerOct 3, 2016 to Jan 30, 2019 · Bothell, Wa
- I•••••••• C•••••• A••••••• formerJun 21, 2013 to Oct 3, 2016 · Lynnfield, Ma
- L•• F•••••••• L•• BD affiliatedAug 8, 2005 to Jun 21, 2013 · Kirkland, Wa
- U•• F•••••••• S••••••• I••• wirehouseMar 28, 2003 to Jun 16, 2005 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• to C••••••••• F•••••••• N••••••left Oct 15, 2025, registered Oct 23, 2025 (8 days) · Affiliated broker-dealer or bank to another
- C••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jan 30, 2019, registered Jan 30, 2019 (0 days) · Affiliated broker-dealer or bank to another
- I•••••••• C•••••• A••••••• to C••••• A••••••• L••left Oct 3, 2016, registered Oct 3, 2016 (0 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to I•••••••• C•••••• A•••••••left Jun 21, 2013, registered Jun 21, 2013 (0 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Jun 16, 2005, registered Aug 8, 2005 (53 days) · Other
- P••• M•••••• K••••••• left A••••••••• F•••••••• S•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2025-10-23)Oct 15, 2025 · 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address