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••••• A••• L••••
- F••• F••••••••• W••••• M••••••••• L•• state registered currentsince Dec 11, 2018 · Caldwell, Id
- T••••••••• C•••••• M••••••••• L•• independent RIAMay 8, 2015 to Dec 12, 2018 · Shoreline, Wa
- E••••• J•••• national BDMay 7, 2012 to May 13, 2015 · St Louis, Mo
- T••••••••• C•••••• M••••••••• L•• to F••• F••••••••• W••••• M••••••••• L••left Dec 12, 2018, registered Dec 11, 2018 (-1 days) · RIA to a state-registered adviser
- E••••• J•••• to T••••••••• C•••••• M••••••••• L••left May 13, 2015, registered May 8, 2015 (-5 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
- STATE REGISTEREDderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address