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.
J•••• W••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 8, 2019 · Port Townsend, Wa
- P••••• W••••• M••••••••• G•••• formerAug 22, 2016 to Jun 26, 2019 · Sun City Center, Fl
- C•••••• L•• independent RIAOct 7, 2008 to Jul 21, 2016 · Seattle, Wa
- P••••• W••••• M••••••••• G•••• to J••• M••••• S••••••••• L••left Jun 26, 2019, registered Jul 8, 2019 (12 days) · RIA to wirehouse
- C•••••• L•• to P••••• W••••• M••••••••• G••••left Jul 21, 2016, registered Aug 22, 2016 (32 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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address