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.
M••••• L• O••••
- L•• F•••••••• L•• BD affiliated currentsince Apr 6, 2021 · Pullman, Wa
- W•••••• • R••• formerFeb 27, 2014 to Apr 6, 2021 · Kennewick, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 9, 2013 to Feb 21, 2014 · Kennewick, Wa
- W•••••• • R••• to L•• F•••••••• L••left Apr 6, 2021, registered Apr 6, 2021 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• • R•••left Feb 21, 2014, registered Feb 27, 2014 (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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address