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.
R•••••• S•••• T••••
- R••••• I••••••••• A•••••••• I•• BD affiliated currentsince Nov 30, 2023 · Seattle, Wa
- A•••• W••••• A•••••••• L•• BD affiliatedMar 31, 2023 to Dec 5, 2023 · Chicago, Il
- C••••• S••••• A•••••••• I••• formerJan 2, 2015 to Jun 13, 2023 · Seattle, Wa
- P•••••••• S••••••••• I••• BD affiliatedNov 5, 2012 to Jan 8, 2015 · Seattle, Wa
- R•••••• W••••• A•••••••• I••• independent RIAFeb 24, 2012 to Oct 4, 2012 · Seattle, Wa
- A•••• W••••• A•••••••• L•• to R••••• I••••••••• A•••••••• I••left Dec 5, 2023, registered Nov 30, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- C••••• S••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jun 13, 2023, registered Mar 31, 2023 (-74 days) · RIA to affiliated broker-dealer or bank · moved with a team
- P•••••••• S••••••••• I••• to C••••• S••••• A•••••••• I•••left Jan 8, 2015, registered Jan 2, 2015 (-6 days) · Other
- R•••••• W••••• A•••••••• I••• to P•••••••• S••••••••• I•••left Oct 4, 2012, registered Nov 5, 2012 (32 days) · Other
- R•••••• S•••• T•••• left A•••• W••••• A•••••••• L•• for R••••• I••••••••• A•••••••• I•• (registered 2023-11-30)Dec 5, 2023 · Advisor changed firm · fact
- R•••••• S•••• T•••• left C••••• S••••• A•••••••• I••• for A•••• W••••• A•••••••• L•• (registered 2023-03-31)Jun 13, 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address