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.
B•••• D•••••• E•••••••
- M••••• A•••••••• L•• BD affiliated currentsince Aug 22, 2022 · Mercer Island, Wa
- L•• F•••••••• L•• BD affiliatedSep 23, 2020 to Sep 2, 2022 · Mercer Island, Wa
- K•• F•••••••• S•••••••• I•• formerOct 25, 2010 to Sep 23, 2020 · Mercer Island, Wa
- L•• F•••••••• L•• to M••••• A•••••••• L••left Sep 2, 2022, registered Aug 22, 2022 (-11 days) · RIA to affiliated broker-dealer or bank · moved with a team
- K•• F•••••••• S•••••••• I•• to L•• F•••••••• L••left Sep 23, 2020, registered Sep 23, 2020 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- B•••• D•••••• E••••••• left L•• F•••••••• L•• for M••••• A•••••••• L•• (registered 2022-08-22)Sep 2, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address