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.
C•••• R••• C•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 30, 2012 · Bellevue, Wa
- M•••••• W••••• R••••• I••• formerOct 30, 2009 to Aug 24, 2012 · Bellevue, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 1, 2009 · Bellevue, Wa
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 27, 2009 to Jun 1, 2009 · Englewood, Co
- U•• F•••••••• S••••••• I••• wirehouseJan 29, 2008 to Mar 4, 2009 · Seattle, Wa
- M•••••• W••••• R••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 24, 2012, registered Aug 30, 2012 (6 days) · Other
- M••••• S•••••• to M•••••• W••••• R••••• I•••left Dec 1, 2009, registered Oct 30, 2009 (-32 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 4, 2009, registered Feb 27, 2009 (-5 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address