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.
A••••• T••••• B•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2025 · Edmonds, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerMar 18, 2020 to Apr 28, 2025 · Olympia, Wa
- D••• D••••••• • C•• independent RIAAug 1, 2011 to Mar 23, 2020 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Jun 22, 2011 · Seattle, Wa
- W•••• F•••• I••••••••• L•• unclassifiedAug 21, 2006 to Jan 3, 2011 · Seattle, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 29, 2005 to Dec 31, 2005 · Seattle, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDAug 4, 2004 to Nov 19, 2004 · San Diego, Ca
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Apr 28, 2025, registered Mar 25, 2025 (-34 days) · RIA to affiliated broker-dealer or bank · moved with a team
- D••• D••••••• • C•• to F•••••••• A•••••••• I••••••••• M•••••••••left Mar 23, 2020, registered Mar 18, 2020 (-5 days) · RIA to RIA
- W•••• F•••• A••••••• to D••• D••••••• • C••left Jun 22, 2011, registered Aug 1, 2011 (40 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Dec 31, 2005, registered Aug 21, 2006 (233 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 19, 2004, registered Mar 29, 2005 (130 days) · Other
- A••••• T••••• B••••• left F•••••••• A•••••••• I••••••••• M••••••••• for L•• F•••••••• L•• (registered 2025-03-25)Apr 28, 2025 · Advisor changed firm · 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address