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•••• L••••
- M••••••••• R••••••••• BD affiliated currentsince Jul 24, 2026 · Puyallup, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 16, 2018 to Apr 10, 2019 · Port Orchard, Wa
- S•• W••••• A•••••••• L•• unclassifiedNov 16, 2016 to Feb 28, 2018 · Sarasota, Fl
- L•• F•••••••• L•• BD affiliatedAug 4, 2015 to Mar 15, 2017 · Sarasota, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••••• R•••••••••left Apr 10, 2019, registered Jul 24, 2026 (2662 days) · Wirehouse to affiliated broker-dealer or bank
- S•• W••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 28, 2018, registered Apr 16, 2018 (47 days) · Other
- L•• F•••••••• L•• to S•• W••••• A•••••••• L••left Mar 15, 2017, registered Nov 16, 2016 (-119 days) · Other · moved with a team
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