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.
- C••• L•• BD affiliated currentsince Feb 20, 2020 · Omaha, Ne
- F•••••••• A•••••••• I••••••••• M••••••••• formerApr 15, 2016 to Oct 1, 2018 · Spokane, Wa
- F•••••••• M••••••••• I••• formerDec 2, 2011 to Sep 28, 2020 · Yakima, Wa
- L•• F•••••••• L•• BD affiliatedAug 13, 2010 to Apr 14, 2020 · Kennewick, Wa
- I••••••••• A••••••• I••••••••• I••• unclassifiedSep 14, 2009 to Aug 16, 2010 · Spokane Valley, Wa
- F•••••••• M••••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Sep 28, 2020, registered Apr 15, 2016 (-1627 days) · Other
- L•• F•••••••• L•• to F•••••••• M••••••••• I•••left Apr 14, 2020, registered Dec 2, 2011 (-3056 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to C••• L••left Oct 1, 2018, registered Feb 20, 2020 (507 days) · RIA to affiliated broker-dealer or bank · moved with a team
- I••••••••• A••••••• I••••••••• I••• to L•• F•••••••• L••left Aug 16, 2010, registered Aug 13, 2010 (-3 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address