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.
L••• S••• A••••••
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Vancouver, Wa
- U••• B•••••• I••••••••• I••• formerDec 20, 2019 to Feb 13, 2026 · Saint Paul, Mn
- J••• M••••• S••••••••• L•• wirehouseDec 14, 2016 to Oct 31, 2019 · Happy Valley, Or
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 22, 2013 · Bellevue, Wa
- C•••• I••••••••• S••••••• C•••• formerJul 30, 2009 to Oct 1, 2012 · Bellevue, Wa
- E•••••••• A•••••••• L•• national BDAug 1, 2008 to Mar 20, 2009 · Bellevue, Wa
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Oct 31, 2019, registered Dec 20, 2019 (50 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Mar 20, 2009, registered Jul 30, 2009 (132 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address