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.
G••••• W••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 1, 2025 · Seattle, Wa
- M••••• S•••••• wirehouseSep 12, 2018 to Aug 24, 2021 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDSep 20, 2016 to Aug 31, 2018 · Bellevue, Wa
- R•••••• I••••••••• asset managerFeb 8, 2011 to Feb 2, 2015 · Seattle, Wa
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Aug 24, 2021, registered Apr 1, 2025 (1316 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 31, 2018, registered Sep 12, 2018 (12 days) · Affiliated broker-dealer or bank to wirehouse
- R•••••• I••••••••• to C•••••• S••••• • C••• I•••left Feb 2, 2015, registered Sep 20, 2016 (596 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address