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.
J••••• M• T•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 20, 2023 · Chicago, Il
- J••• M••••• P•••••• W••••• A••••••• L•• formerAug 11, 2020 to Mar 21, 2025 · Bellevue, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 16, 2009 to Sep 4, 2020 · Bellevue, Wa
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Dec 7, 2009 · Seattle, Wa
- W••• I••••••••• I••• unclassifiedMar 16, 2009 to May 2, 2009 · Seattle, Wa
- R•••• A••••••• S•••••••• I••• formerFeb 21, 2007 to Jul 24, 2009 · Redlands, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 21, 2025, registered Nov 20, 2023 (-487 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 4, 2020, registered Aug 11, 2020 (-24 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 7, 2009, registered Dec 16, 2009 (9 days) · Other
- R•••• A••••••• S•••••••• I••• to W••• I••••••••• I•••left Jul 24, 2009, registered Mar 16, 2009 (-130 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
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