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.
G•••••• L•••• M•••••
- B••••• C•••••• C••••••••• L•• state registered currentsince Jul 9, 2021 · Kennewick, Wa
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIAJul 2, 2018 to Jul 15, 2021 · Woodinville, Wa
- F•••••••• • E••••• A•••••••• I•• unclassifiedJun 9, 2011 to Jun 6, 2018 · Woodinville, Wa
- C•••• I••••••••• S••••••• C•••• formerMar 22, 2010 to May 3, 2011 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Mar 3, 2010 · Fresno, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJun 18, 2007 to Jan 1, 2008 · St. Louis, Mo
- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• to B••••• C•••••• C••••••••• L••left Jul 15, 2021, registered Jul 9, 2021 (-6 days) · RIA to a state-registered adviser
- F•••••••• • E••••• A•••••••• I•• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Jun 6, 2018, registered Jul 2, 2018 (26 days) · Other
- C•••• I••••••••• S••••••• C•••• to F•••••••• • E••••• A•••••••• I••left May 3, 2011, registered Jun 9, 2011 (37 days) · Other
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Mar 3, 2010, registered Mar 22, 2010 (19 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- STATE REGISTEREDderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address