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•••••• C•••••• P•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 25, 2024 · Seattle, Wa
- C••••• A••••••• L•• formerOct 3, 2016 to Jan 25, 2024 · Seattle, Wa
- N••••••• W••••• M••••••••• L•• unclassifiedJan 7, 2015 to Dec 31, 2016 · Seattle, Wa
- I•••••••• C•••••• A••••••• formerOct 1, 2014 to Oct 3, 2016 · Seattle, Wa
- C••••• A••••••• L•• to L•• F•••••••• L••left Jan 25, 2024, registered Jan 25, 2024 (0 days) · Affiliated broker-dealer or bank to another
- N••••••• W••••• M••••••••• L•• to C••••• A••••••• L••left Dec 31, 2016, registered Oct 3, 2016 (-89 days) · Other
- I•••••••• C•••••• A••••••• to N••••••• W••••• M••••••••• L••left Oct 3, 2016, registered Jan 7, 2015 (-635 days) · Other
- K•••••• C•••••• P••• left C••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-01-25)Jan 25, 2024 · 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address