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•••••• S•••••
- M••••• G••••• A••••••• I••• independent RIA currentsince Dec 8, 2023 · Denver, Co
- J••• M••••• S••••••••• L•• wirehouseDec 19, 2022 to Nov 6, 2023 · Seattle, Wa
- C••••••••• F•••••••• N•••••• national BDOct 9, 2018 to Aug 25, 2022 · Bellevue, Wa
- W••••••• F•••••••• S•••••••• I••• formerFeb 9, 2016 to Oct 12, 2018 · Bellevue, Wa
- A••••••• F•••••••• P••••••• state registeredSep 10, 2013 to Feb 19, 2020 · Seattle, Wa
- G•••••• F•••••••• P•••••••• I••• unclassifiedJun 7, 2013 to Dec 11, 2013 · Seattle, Wa
- W••••••• F•••••••• S•••••••• I••• formerSep 14, 2009 to May 8, 2012 · Bellevue, Wa
- J••• M••••• S••••••••• L•• to M••••• G••••• A••••••• I•••left Nov 6, 2023, registered Dec 8, 2023 (32 days) · Wirehouse to independent RIA
- C••••••••• F•••••••• N•••••• to J••• M••••• S••••••••• L••left Aug 25, 2022, registered Dec 19, 2022 (116 days) · Affiliated broker-dealer or bank to wirehouse
- A••••••• F•••••••• P••••••• to W••••••• F•••••••• S•••••••• I•••left Feb 19, 2020, registered Feb 9, 2016 (-1471 days) · Other
- W••••••• F•••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••left Oct 12, 2018, registered Oct 9, 2018 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- G•••••• F•••••••• P•••••••• I••• to A••••••• F•••••••• P•••••••left Dec 11, 2013, registered Sep 10, 2013 (-92 days) · Other
- W••••••• F•••••••• S•••••••• I••• to G•••••• F•••••••• P•••••••• I•••left May 8, 2012, registered Jun 7, 2013 (395 days) · Other
- M•••••• S••••• left J••• M••••• S••••••••• L•• for M••••• G••••• A••••••• I••• (registered 2023-12-08)Nov 6, 2023 · Advisor changed firm · fact
- M•••••• S••••• left C••••••••• F•••••••• N•••••• for J••• M••••• S••••••••• L•• (registered 2022-12-19)Aug 25, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address