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.
W•••••• C••••••• C•••
- R•••••• I••••••••• asset manager currentsince Aug 8, 2018 · Seattle, Wa
- E•••••••• A•••••••• L•• national BDOct 6, 2014 to Aug 6, 2018 · Bellevue, Wa
- R•••••• I••••••••• asset managerJan 10, 2011 to Aug 18, 2014 · Seattle, Wa
- C•••• I••••••••• S••••••• C•••• formerApr 15, 2010 to Jul 23, 2010 · Puyallup, Wa
- E•••••••• A•••••••• L•• national BDAug 27, 2007 to Mar 5, 2010 · Bellevue, Wa
- E•••••••• A•••••••• L•• to R•••••• I•••••••••left Aug 6, 2018, registered Aug 8, 2018 (2 days) · Other
- R•••••• I••••••••• to E•••••••• A•••••••• L••left Aug 18, 2014, registered Oct 6, 2014 (49 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•••••• I•••••••••left Jul 23, 2010, registered Jan 10, 2011 (171 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 5, 2010, registered Apr 15, 2010 (41 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address