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.
T••• M•••••• H••••••
- N•••••• F•••••••• G••••• I••• independent RIA currentsince Feb 5, 2021 · Silverdale, Wa
- S••••• F•••••••• G•••• I•• formerDec 1, 2017 to Feb 5, 2021 · Silverdale, Wa
- W•••• F•••• A••••••• wirehouseFeb 18, 2016 to Dec 6, 2017 · Silverdale, Wa
- W•••• F•••• A••••••• wirehouseFeb 4, 2016 to Feb 16, 2016 · Silverdale, Wa
- W•••• F•••• A••••••• wirehouseJul 8, 2011 to Feb 4, 2016 · Gig Harbor, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jul 20, 2011 · Port Townsend, Wa
- W••• I••••••••• I••• unclassifiedApr 9, 2009 to May 2, 2009 · Port Townsend, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2006 to Mar 12, 2009 · Seattle, Wa
- S••••• F•••••••• G•••• I•• to N•••••• F•••••••• G••••• I•••left Feb 5, 2021, registered Feb 5, 2021 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left Dec 6, 2017, registered Dec 1, 2017 (-5 days) · Other · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Feb 4, 2016, registered Feb 4, 2016 (0 days) · channel change inside one enterprise, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Jul 20, 2011, registered Jul 8, 2011 (-12 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••• I••••••••• I•••left Mar 12, 2009, registered Apr 9, 2009 (28 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
- Independent wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address