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.
- E••••• J•••• national BD currentsince May 26, 2023 · Kennewick, Wa
- U••• B•••••• I••••••••• I••• formerAug 24, 2021 to May 30, 2023 · Pasco, Wa
- L•• F•••••••• L•• BD affiliatedMar 19, 2018 to Jun 12, 2020 · Kennewick, Wa
- W•••••• • R••• formerAug 21, 2015 to Mar 22, 2018 · Yakima, Wa
- W•••••• • R••• formerOct 14, 2010 to Apr 19, 2011 · Kennewick, Wa
- U••• B•••••• I••••••••• I••• to E••••• J••••left May 30, 2023, registered May 26, 2023 (-4 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to U••• B•••••• I••••••••• I•••left Jun 12, 2020, registered Aug 24, 2021 (438 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to L•• F•••••••• L••left Mar 22, 2018, registered Mar 19, 2018 (-3 days) · Other
- G•••••• B•••••• left U••• B•••••• I••••••••• I••• for E••••• J•••• (registered 2023-05-26)May 30, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address