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•••••• D• K••
- L•• F•••••••• L•• BD affiliated currentsince Sep 1, 2020 · Spokane, Wa
- W••••••• F•••••••• S•••••••• I••• formerAug 31, 2018 to Sep 3, 2020 · Spokane, Wa
- K••••• A••••••• S•••••••• L•• BD affiliatedMay 3, 2016 to Aug 30, 2018 · Spokane Valley, Wa
- N•• A•••••• S•••••••• L•• formerAug 28, 2015 to Sep 22, 2016 · Spokane Valley, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJan 24, 2012 to Sep 1, 2015 · Spokane, Wa
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Sep 3, 2020, registered Sep 1, 2020 (-2 days) · Affiliated broker-dealer or bank to another
- K••••• A••••••• S•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Aug 30, 2018, registered Aug 31, 2018 (1 days) · Affiliated broker-dealer or bank to another
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered May 3, 2016 (-142 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to N•• A•••••• S•••••••• L••left Sep 1, 2015, registered Aug 28, 2015 (-4 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address