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.
R••• P•••••• F••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 2, 2009 · Del Mar, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 30, 2004 to Apr 17, 2007 · Seattle, Wa
- M••••• S•••••• D• I••• unclassifiedMar 25, 2004 to Jun 23, 2004 · Seattle, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 17, 2007, registered Jan 2, 2009 (626 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jun 23, 2004, registered Jul 30, 2004 (37 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