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.
W•••••• G••••• T•••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 2, 2011 · Bellingham, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Mar 2, 2011 · Bellingham, Wa
- W••• I••••••••• I••• unclassifiedJun 5, 2008 to May 2, 2009 · Bellingham, Wa
- K•• I••••••••• S••••••• L•• BD affiliatedApr 6, 2006 to Jun 3, 2008 · Tacoma, Wa
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Mar 2, 2011, registered Mar 2, 2011 (0 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
- K•• I••••••••• S••••••• L•• to W••• I••••••••• I•••left Jun 3, 2008, registered Jun 5, 2008 (2 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address