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.
L••••• M•••• A••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Apr 7, 2026 · Chicago, Il
- J•••••• S•••••••• W••••• L•• formerSep 13, 2022 to Apr 8, 2026 · Seattle, Wa
- E•••• S••••••••• L•• BD affiliatedJul 14, 2011 to Sep 16, 2022 · Bellevue, Wa
- J•••••• S•••••••• W••••• L•• to H•••••••• A•••••••• L••left Apr 8, 2026, registered Apr 7, 2026 (-1 days) · RIA to affiliated broker-dealer or bank
- E•••• S••••••••• L•• to J•••••• S•••••••• W••••• L••left Sep 16, 2022, registered Sep 13, 2022 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- L••••• M•••• A•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-07)Apr 8, 2026 · Advisor changed firm · fact
- L••••• M•••• A•••• left E•••• S••••••••• L•• for J•••••• S•••••••• W••••• L•• (registered 2022-09-13)Sep 16, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address