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.
- K•••• C•••••• state registered currentsince Nov 30, 2020 · Bellevue, Wa
- O••• A••••••• independent RIAFeb 1, 2018 to Mar 19, 2021 · Bellevue, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 15, 2008 to Feb 5, 2018 · Seattle, Wa
- E•••••••• A•••••••• L•• national BDNov 14, 2007 to Dec 19, 2007 · Bellevue, Wa
- O••• A••••••• to K•••• C••••••left Mar 19, 2021, registered Nov 30, 2020 (-109 days) · RIA to a state-registered adviser
- V••• F•••••••• A•••••••• I••• to O••• A•••••••left Feb 5, 2018, registered Feb 1, 2018 (-4 days) · Other
- E•••••••• A•••••••• L•• to V••• F•••••••• A•••••••• I•••left Dec 19, 2007, registered Jan 15, 2008 (27 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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address