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.
- E••••• J•••• national BD currentsince Mar 17, 2026 · Seattle, Wa
- U••••• C•••••• F•••••••• A••••••• independent RIASep 14, 2017 to Dec 16, 2019 · Seattle, Wa
- L•••• A••••• • C•• L•• asset managerDec 20, 2005 to Sep 21, 2016 · Jersey City, Nj
- U••••• C•••••• F•••••••• A••••••• to E••••• J••••left Dec 16, 2019, registered Mar 17, 2026 (2283 days) · Affiliated broker-dealer or bank to another
- L•••• A••••• • C•• L•• to U••••• C•••••• F•••••••• A•••••••left Sep 21, 2016, registered Sep 14, 2017 (358 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address