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.
M•••••• D•••• K••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Feb 7, 2020 · Idaho Falls, Id
- E•• F•••••••• A••••••• independent RIAMay 2, 2018 to Feb 10, 2020 · Gig Harbor, Wa
- H•••••• T••••••• • K•••• L•• independent RIAJul 6, 2015 to Apr 13, 2018 · Bellevue, Wa
- P•••• S••••••••• L•• no RAUMJul 5, 2013 to May 29, 2015 · Mercer Island, Wa
- E•••••••• A•••••••• L•• national BDMay 14, 2003 to Nov 12, 2012 · Bellevue, Wa
- E•• F•••••••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 10, 2020, registered Feb 7, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••left Apr 13, 2018, registered May 2, 2018 (19 days) · Affiliated broker-dealer or bank to another
- P•••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left May 29, 2015, registered Jul 6, 2015 (38 days) · Other
- E•••••••• A•••••••• L•• to P•••• S••••••••• L••left Nov 12, 2012, registered Jul 5, 2013 (235 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
- 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