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.
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Seattle, Wa
- C••• F•••••••• S•••••••• L••• formerFeb 7, 2023 to May 15, 2025 · Seattle, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 11, 2016 to Feb 1, 2023 · Lynnwood, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 2, 2014 to May 10, 2016 · Seattle, Wa
- F•••••••• A•••••• S••••• L•• formerFeb 11, 2013 to Jan 24, 2014 · Lake Forest Park, Wa
- M••••• S•••••• wirehouseJun 2, 2011 to Apr 18, 2012 · Silverdale, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDFeb 9, 2009 to Jun 5, 2009 · Sequim, Wa
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• F•••••••• S•••••••• L•••left Feb 1, 2023, registered Feb 7, 2023 (6 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 10, 2016, registered May 11, 2016 (1 days) · Other
- F•••••••• A•••••• S••••• L•• to M•• I•••••••• S•••••••• L••left Jan 24, 2014, registered Oct 2, 2014 (251 days) · Other
- M••••• S•••••• to F•••••••• A•••••• S••••• L••left Apr 18, 2012, registered Feb 11, 2013 (299 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Jun 5, 2009, registered Jun 2, 2011 (727 days) · Affiliated broker-dealer or bank to wirehouse
- J••••• W••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••• F•••••••• S•••••••• L••• (registered 2023-02-07)Feb 1, 2023 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address