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.
H•••••• A•• P••••
- O•••• W•••••• I••• BD affiliated currentsince Jul 17, 2024 · Indio, Ca
- F•••••••• A•••••••• I••••••••• M••••••••• formerOct 22, 2015 to Oct 6, 2023 · Olympia, Wa
- L•• F•••••••• L•• BD affiliatedFeb 6, 2012 to Jun 25, 2024 · Olympia, Wa
- U•• F•••••••• S••••••• I••• wirehouseNov 18, 2011 to Feb 13, 2012 · Tacoma, Wa
- C••••• I••••••••• S••••••• L•• formerFeb 2, 2011 to Nov 18, 2011 · Tacoma, Wa
- L•• F•••••••• L•• BD affiliatedNov 16, 2007 to Feb 4, 2011 · Lacey, Wa
- L•• F•••••••• L•• BD affiliatedAug 30, 2006 to May 4, 2007 · Olympia, Wa
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Jun 25, 2024, registered Oct 22, 2015 (-3169 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to O•••• W•••••• I•••left Oct 6, 2023, registered Jul 17, 2024 (285 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Feb 13, 2012, registered Feb 6, 2012 (-7 days) · Other
- C••••• I••••••••• S••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 18, 2011, registered Nov 18, 2011 (0 days) · Other
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Feb 4, 2011, registered Feb 2, 2011 (-2 days) · Other
- H•••••• A•• P•••• left L•• F•••••••• L•• for F•••••••• A•••••••• I••••••••• M••••••••• (registered 2015-10-22)Jun 25, 2024 · Advisor changed firm · fact
- H•••••• A•• P•••• left F•••••••• A•••••••• I••••••••• M••••••••• for O•••• W•••••• I••• (registered 2024-07-17)Oct 6, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address