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.
W•••••• E••••• L•••
- L•• F•••••••• L•• BD affiliated currentsince May 15, 2025 · Spokane, Wa
- C••• F•••••••• S•••••••• L••• formerOct 24, 2017 to May 15, 2025 · Spokane, Wa
- U•• F•••••••• S••••••• I••• wirehouseMar 27, 2013 to Nov 1, 2017 · Spokane, Wa
- D••• D••••••• • C•• independent RIAJan 24, 2011 to Apr 1, 2013 · Spokane, Wa
- E••••• J•••• national BDJun 26, 2008 to Feb 11, 2009 · St Louis, Mo
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••• F•••••••• S•••••••• L•••left Nov 1, 2017, registered Oct 24, 2017 (-8 days) · Other
- D••• D••••••• • C•• to U•• F•••••••• S••••••• I•••left Apr 1, 2013, registered Mar 27, 2013 (-5 days) · Other
- E••••• J•••• to D••• D••••••• • C••left Feb 11, 2009, registered Jan 24, 2011 (712 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