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•••••• V•• D•••
- N•••••••• A•••• M••••••••• independent RIA currentsince Mar 22, 2019 · Issaquah, Wa
- G•••• C••••••• I••• independent RIAJan 23, 2015 to Mar 22, 2019 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseMar 31, 2008 to Feb 4, 2015 · Issaquah, Wa
- G•••• C••••••• I••• to N•••••••• A•••• M•••••••••left Mar 22, 2019, registered Mar 22, 2019 (0 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to G•••• C••••••• I•••left Feb 4, 2015, registered Jan 23, 2015 (-12 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address