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.
B•••• D•••••• F••••••••
- M••••••••• W••••• A••••••• state registered currentsince Aug 30, 2017 · Bellevue, Wa
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Aug 23, 2012 · Tukwila, Wa
- B••••••••• L•• formerSep 15, 2010 to Aug 1, 2012 · Chicago, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 17, 2010 · Seattle, Wa
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedMar 23, 2007 to Jan 2, 2009 · Seattle, Wa
- M•• F•••••••• S•••••••• I••• formerJun 1, 2004 to Mar 26, 2007 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDApr 1, 2004 to May 20, 2004 · Bellevue, Wa
- B••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 1, 2012, registered Aug 23, 2012 (22 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B••••••••• L••left Sep 17, 2010, registered Sep 15, 2010 (-2 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Mar 26, 2007, registered Mar 23, 2007 (-3 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left May 20, 2004, registered Jun 1, 2004 (12 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