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•••••• M•••• S•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 10, 2025 · Kalispell, Mt
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 19, 2023 to Mar 13, 2025 · Bonney Lake, Wa
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Oct 18, 2023 · Tacoma, Wa
- C••••• I••••••••• S••••••• L•• formerAug 30, 2012 to Jan 21, 2014 · Tacoma, Wa
- E••••• J•••• national BDAug 18, 2008 to Aug 21, 2012 · St Louis, Mo
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left Mar 13, 2025, registered Mar 10, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 18, 2023, registered Oct 19, 2023 (1 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C••••• I••••••••• S••••••• L••left Aug 21, 2012, registered Aug 30, 2012 (9 days) · Other
- A•••••• M•••• S••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2025-03-10)Mar 13, 2025 · 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