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•••••• S•••• F•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 24, 2011 · Seattle, Wa
- M••••• S•••••• wirehouseSep 3, 2010 to Sep 20, 2011 · Seattle, Wa
- O••••••••• • C•• I••• BD affiliatedMay 21, 2008 to Aug 2, 2010 · Bellevue, Wa
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2007 to May 29, 2008 · Weehawken, Nj
- K•••••• C•••••• M•••••• I••• unclassifiedJun 7, 2006 to Feb 9, 2007 · Bellevue, Wa
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 20, 2011, registered Oct 24, 2011 (34 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to M••••• S••••••left Aug 2, 2010, registered Sep 3, 2010 (32 days) · Other
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left May 29, 2008, registered May 21, 2008 (-8 days) · Other
- K•••••• C•••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2007, registered Feb 9, 2007 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address