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•••••• E••• M•••••••••
- C•••••• A••••••• BD affiliated currentsince Oct 28, 2014 · Renton, Wa
- L•••••• I••••••••• independent RIA currentsince Oct 28, 2014 · Renton, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 16, 2013 to Dec 2, 2014 · Bellevue, Wa
- L•••••• I••••••••• independent RIAJan 2, 2009 to Jan 17, 2013 · Renton, Wa
- S••••••• F•••••••• G••••• I••• unclassifiedAug 20, 2008 to Jul 29, 2009 · Renton, Wa
- G•••• A••••••• A•••••••• I••• formerAug 15, 2008 to Aug 26, 2008 · Renton, Wa
- A••••••••• F•••••••• S•••••••• L•• to L•••••• I•••••••••left Dec 2, 2014, registered Oct 28, 2014 (-35 days) · Other
- L•••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 17, 2013, registered Jan 16, 2013 (-1 days) · Other
- S••••••• F•••••••• G••••• I••• to L•••••• I•••••••••left Jul 29, 2009, registered Jan 2, 2009 (-208 days) · Other
- G•••• A••••••• A•••••••• I••• to S••••••• F•••••••• G••••• I•••left Aug 26, 2008, registered Aug 20, 2008 (-6 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
- 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