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.
P••••• Y••••• D•••••
- M•••••• W••••• M••••••••• I•• independent RIA currentsince Sep 16, 2019 · Spokane Valley, Wa
- C••••• A••••••• L•• formerSep 19, 2018 to May 18, 2020 · Spokane Valley, Wa
- D••• D••••••• • C•• independent RIAApr 9, 2014 to Apr 30, 2018 · Kennewick, Wa
- C••••• A••••••• L•• to M•••••• W••••• M••••••••• I••left May 18, 2020, registered Sep 16, 2019 (-245 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- D••• D••••••• • C•• to C••••• A••••••• L••left Apr 30, 2018, registered Sep 19, 2018 (142 days) · RIA to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address