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.
S•••••• J•••• C••••
- A••••••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 1, 2021 · Issaquah, Wa
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 16, 2018 to Feb 19, 2020 · Seattle, Wa
- A••••••• A••••••• S••••••• formerAug 2, 2013 to Feb 15, 2018 · Seattle, Wa
- M•• I•••••••• S•••••••• L•• to A••••••• A••••••• S•••••••• L••left Feb 19, 2020, registered Nov 1, 2021 (621 days) · Affiliated broker-dealer or bank to another
- A••••••• A••••••• S••••••• to M•• I•••••••• S•••••••• L••left Feb 15, 2018, registered Feb 16, 2018 (1 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
- 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