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.
A••••• R••• B•••
- E•••••••• A•••••••• L•• national BD currentsince Dec 19, 2023 · Meridian, Id
- P•••• S••••••••• L•• no RAUMDec 15, 2017 to Dec 21, 2023 · Everett, Wa
- L•• F•••••••• L•• BD affiliatedFeb 24, 2012 to Dec 15, 2017 · Olympia, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedMay 21, 2009 to Feb 28, 2012 · Bellevue, Wa
- H•••••• T••••••• • K•••• L•• independent RIAMar 20, 2008 to Feb 6, 2009 · Bellevue, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 17, 2007 to Dec 10, 2007 · Bellevue, Wa
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Dec 21, 2023, registered Dec 19, 2023 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to P•••• S••••••••• L••left Dec 15, 2017, registered Dec 15, 2017 (0 days) · RIA to affiliated broker-dealer or bank
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Feb 28, 2012, registered Feb 24, 2012 (-4 days) · Other
- H•••••• T••••••• • K•••• L•• to V••• F•••••••• A•••••••• I•••left Feb 6, 2009, registered May 21, 2009 (104 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Dec 10, 2007, registered Mar 20, 2008 (101 days) · Other
- A••••• R••• B••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-12-19)Dec 21, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address