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.
N•••••••• J•••• A•••••
- C••••••••• W•••••• L•• independent RIA currentsince Jul 7, 2023 · Los Angeles, Ca
- R•• C•••••• M••••••• L•• national BDAug 29, 2017 to Jul 13, 2023 · Tacoma, Wa
- C••••••• R•••• A••••••• independent RIAJun 20, 2016 to Aug 25, 2017 · Tacoma, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerMay 7, 2015 to Jun 22, 2016 · Olympia, Wa
- C•••••• W••••• M••••••••• formerJul 15, 2014 to Mar 31, 2015 · San Jose, Ca
- R•••••• I••••••••• asset managerJun 29, 2007 to Jul 25, 2014 · Seattle, Wa
- R•••••• I••••••••• asset managerJul 1, 2005 to Jun 29, 2007 · Tacoma, Wa
- R•• C•••••• M••••••• L•• to C••••••••• W•••••• L••left Jul 13, 2023, registered Jul 7, 2023 (-6 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• R•••• A••••••• to R•• C•••••• M••••••• L••left Aug 25, 2017, registered Aug 29, 2017 (4 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to C••••••• R•••• A•••••••left Jun 22, 2016, registered Jun 20, 2016 (-2 days) · Other
- C•••••• W••••• M••••••••• to F•••••••• A•••••••• I••••••••• M•••••••••left Mar 31, 2015, registered May 7, 2015 (37 days) · Other
- R•••••• I••••••••• to C•••••• W••••• M•••••••••left Jul 25, 2014, registered Jul 15, 2014 (-10 days) · Other
- N•••••••• J•••• A••••• left R•• C•••••• M••••••• L•• for C••••••••• W•••••• L•• (registered 2023-07-07)Jul 13, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address