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.
H•••••• E•••••••• H••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 10, 2024 · Bellevue, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedNov 9, 2011 to Oct 17, 2019 · Tacoma, Wa
- S••••••• F•••••••• S•••••••• I••• formerJul 12, 2007 to Oct 4, 2011 · Bellevue, Wa
- U••• B•••••• I••••••••• I••• formerApr 4, 2006 to Jun 12, 2007 · Seattle, Wa
- K•• I••••••••• S••••••• L•• to J••• M••••• S••••••••• L••left Oct 17, 2019, registered Dec 10, 2024 (1881 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• F•••••••• S•••••••• I••• to K•• I••••••••• S••••••• L••left Oct 4, 2011, registered Nov 9, 2011 (36 days) · Other
- U••• B•••••• I••••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jun 12, 2007, registered Jul 12, 2007 (30 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address