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•••••• T••• R••••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 26, 2023 · Bellevue, Wa
- W••••••• F•••••••• S•••••••• I••• formerJul 16, 2018 to Oct 30, 2023 · Issaquah, Wa
- H•••••• T••••••• • K•••• L•• independent RIAApr 16, 2014 to Jul 26, 2018 · Bellevue, Wa
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Oct 30, 2023, registered Oct 26, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• T••••••• • K•••• L•• to W••••••• F•••••••• S•••••••• I•••left Jul 26, 2018, registered Jul 16, 2018 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• T••• R•••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-10-26)Oct 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address