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.
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- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Feb 3, 2025 · Sammamish, Wa
- C••••••• W••••• A•••••••• L•• independent RIAJul 27, 2020 to Feb 11, 2025 · Salem, Or
- W•••••• • R••• formerSep 18, 2006 to Jul 28, 2020 · Seattle, Wa
- C••••••• W••••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Feb 11, 2025, registered Feb 3, 2025 (-8 days) · RIA to affiliated broker-dealer or bank
- W•••••• • R••• to C••••••• W••••• A•••••••• L••left Jul 28, 2020, registered Jul 27, 2020 (-1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- S•••• S••••••• left C••••••• W••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-02-03)Feb 11, 2025 · 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