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••• C•••••• L•• independent RIA currentsince Apr 27, 2022 · Bellevue, Wa
- E•••••••• C•••••• M••••••••• L•• independent RIAAug 21, 2012 to Apr 19, 2022 · Bellevue, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 26, 2009 to Jul 10, 2012 · Bellevue, Wa
- T• A••••••••• I••• formerJan 26, 2009 to Jul 10, 2012 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2007 to Jan 8, 2009 · Seattle, Wa
- E•••••••• C•••••• M••••••••• L•• to H••• C•••••• L••left Apr 19, 2022, registered Apr 27, 2022 (8 days) · RIA to RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 10, 2012, registered Jan 26, 2009 (-1261 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 10, 2012, registered Jan 26, 2009 (-1261 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Jan 8, 2009, registered Jan 26, 2009 (18 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• J• D•••••• left E•••••••• C•••••• M••••••••• L•• for H••• C•••••• L•• (registered 2022-04-27)Apr 19, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address