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•••• W•••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Buckeye, Az
- W••••••• F•••••••• S•••••••• I••• formerAug 29, 2019 to Jan 19, 2024 · Bellevue, Wa
- F•••••••• A•••••••• I••••••••• M••••••••• formerFeb 5, 2015 to Feb 11, 2015 · Bellevue, Wa
- P•••••••• S••••••••• I••• BD affiliatedJan 7, 2013 to Sep 11, 2019 · Seattle, Wa
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to F•••••••• A•••••••• I••••••••• M•••••••••left Sep 11, 2019, registered Feb 5, 2015 (-1679 days) · Other
- F•••••••• A•••••••• I••••••••• M••••••••• to W••••••• F•••••••• S•••••••• I•••left Feb 11, 2015, registered Aug 29, 2019 (1660 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address