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.
D•••• C•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 13, 2021 · Tacoma, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 17, 2019 to Jan 14, 2021 · Tacoma, Wa
- T• A••••••••• I••• formerMay 17, 2019 to Jan 14, 2021 · Tacoma, Wa
- L•• F•••••••• L•• BD affiliatedApr 27, 2016 to May 16, 2019 · Tukwila, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 2015 to Dec 4, 2015 · Bonney Lake, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerNov 19, 2012 to Sep 12, 2014 · Portland, Or
- T• A••••••••• I••• formerNov 19, 2012 to Sep 12, 2014 · Portland, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 11, 2012 to Nov 16, 2012 · Scottsdale, Az
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jan 14, 2021, registered May 17, 2019 (-608 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jan 14, 2021, registered May 17, 2019 (-608 days) · channel change inside one enterprise, not a move
- L•• F•••••••• L•• to T• A••••••••• I•••left May 16, 2019, registered May 17, 2019 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Dec 4, 2015, registered Apr 27, 2016 (145 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Sep 12, 2014, registered Nov 19, 2012 (-662 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 12, 2014, registered Nov 19, 2012 (-662 days) · channel change inside one enterprise, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I•••left Nov 16, 2012, registered Nov 19, 2012 (3 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address