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•••••• L•••• B•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 30, 2011 · Bellevue, Wa
- F•••••• M••••••••• L•• formerSep 11, 2008 to Aug 23, 2011 · Seattle, Wa
- A••••••• C•••••• M••••••••• L• unclassifiedJun 25, 2007 to Sep 3, 2008 · Seattle, Wa
- W•••••• • R••• formerDec 14, 2006 to Mar 2, 2007 · Bellevue, Wa
- F•••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 23, 2011, registered Aug 30, 2011 (7 days) · Other
- A••••••• C•••••• M••••••••• L• to F•••••• M••••••••• L••left Sep 3, 2008, registered Sep 11, 2008 (8 days) · Other
- W•••••• • R••• to A••••••• C•••••• M••••••••• L•left Mar 2, 2007, registered Jun 25, 2007 (115 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address