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.
S••• S• C••••••
- C•••••• F•••••••• G••••• L•• state registered currentsince Sep 6, 2022 · Kennewick, Wa
- C••••••••• F•••••••• N•••••• national BD currentsince Apr 7, 2022 · Kennewick, Wa
- V•••• F•••••••• A•••••••• I••• BD affiliatedJul 27, 2010 to Apr 6, 2022 · Richland, Wa
- K•• F•••••••• S•••••••• I•• formerApr 9, 2010 to Jul 16, 2010 · Richland, Wa
- V•••• F•••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Apr 6, 2022, registered Apr 7, 2022 (1 days) · Affiliated broker-dealer or bank to another · moved with a team
- K•• F•••••••• S•••••••• I•• to V•••• F•••••••• A•••••••• I•••left Jul 16, 2010, registered Jul 27, 2010 (11 days) · Other
- S••• S• C•••••• left V•••• F•••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2022-04-07)Apr 6, 2022 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address