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•••• A••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2025 · Edmonds, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerMar 7, 2024 to Apr 28, 2025 · Edmonds, Wa
- L•• F•••••••• L•• BD affiliatedMay 18, 2022 to Oct 20, 2023 · Bellevue, Wa
- C••• B•••••••• S•••••••• I••• formerFeb 20, 2019 to May 18, 2022 · Waverly, Ia
- H•••••• T••••••• • K•••• L•• independent RIAFeb 8, 2010 to Feb 8, 2019 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseNov 5, 2007 to May 13, 2009 · Seattle, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• to L•• F•••••••• L••left Apr 28, 2025, registered Mar 25, 2025 (-34 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L•• F•••••••• L•• to F•••••••• A•••••••• I••••••••• M•••••••••left Oct 20, 2023, registered Mar 7, 2024 (139 days) · Affiliated broker-dealer or bank to independent RIA
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to C••• B•••••••• S•••••••• I•••left Feb 8, 2019, registered Feb 20, 2019 (12 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to H•••••• T••••••• • K•••• L••left May 13, 2009, registered Feb 8, 2010 (271 days) · Other
- L•••• A••• S••••• left F•••••••• A•••••••• I••••••••• M••••••••• for L•• F•••••••• L•• (registered 2025-03-25)Apr 28, 2025 · Advisor changed firm · fact
- L•••• A••• S••••• left L•• F•••••••• L•• for F•••••••• A•••••••• I••••••••• M••••••••• (registered 2024-03-07)Oct 20, 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
- 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