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.
- T•• I•••••••• independent RIA currentsince Jul 2, 2020 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseOct 21, 2010 to Jun 5, 2020 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseJun 29, 2010 to Aug 2, 2010 · Seattle, Wa
- C••••• C•••••• A•••••••• L•• unclassifiedMar 18, 2009 to Dec 31, 2010 · Pasadena, Ca
- W•••• F•••• A••••••• wirehouseOct 14, 2008 to Dec 8, 2008 · Seattle, Wa
- U•• F•••••••• S••••••• I••• to T•• I••••••••left Jun 5, 2020, registered Jul 2, 2020 (27 days) · Wirehouse to independent RIA
- C••••• C•••••• A•••••••• L•• to W•••• F•••• A•••••••left Dec 31, 2010, registered Jun 29, 2010 (-185 days) · Other
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Aug 2, 2010, registered Oct 21, 2010 (80 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to C••••• C•••••• A•••••••• L••left Dec 8, 2008, registered Mar 18, 2009 (100 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address