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.
K•••• I•••• S••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Mar 8, 2016 · Seattle, Wa
- M••••• S•••••• wirehouseJan 4, 2011 to Nov 18, 2015 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jul 13, 2010 · Seattle, Wa
- W••• I••••••••• I••• unclassifiedJun 6, 2008 to May 2, 2009 · Seattle, Wa
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 18, 2015, registered Mar 8, 2016 (111 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M••••• S••••••left Jul 13, 2010, registered Jan 4, 2011 (175 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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