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.
M•••••• T••••• B•••••••
- S• A•••••••• L•• independent RIA currentsince Sep 6, 2023 · Atlanta, Ga
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Aug 17, 2022 · Enumclaw, Wa
- I••••• F•••••••• C••••••••• formerFeb 19, 2009 to Feb 16, 2018 · Lynnwood, Wa
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 24, 2004 to Feb 20, 2009 · St. Petersburg, Fl
- L•• F•••••••• L•• to S• A•••••••• L••left Aug 17, 2022, registered Sep 6, 2023 (385 days) · RIA to RIA
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 16, 2018, registered Feb 14, 2018 (-2 days) · corporate re-registration, not a move
- T••••••••• F•••••••• A•••••••• L•• to I••••• F•••••••• C•••••••••left Feb 20, 2009, registered Feb 19, 2009 (-1 days) · Other
- M•••••• T••••• B••••••• left L•• F•••••••• L•• for S• A•••••••• L•• (registered 2023-09-06)Aug 17, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address