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.
S•••••• R••••• F••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Kirkland, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 10, 2020 to Mar 31, 2025 · Bellevue, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 3, 2019 to Jul 28, 2020 · Lynnwood, Wa
- T• A••••••••• I••• formerJan 3, 2019 to Jul 28, 2020 · Lynnwood, Wa
- E••••••• W••••• P••••••• L•• state registeredJul 20, 2017 to Dec 11, 2018 · Edmond, Ok
- S••••••• F•••••••• S•••••••• I••• formerAug 19, 2015 to Jul 19, 2017 · Seattle, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 28, 2020, registered Jan 3, 2019 (-572 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 28, 2020, registered Aug 10, 2020 (13 days) · RIA to affiliated broker-dealer or bank
- E••••••• W••••• P••••••• L•• to T• A••••••••• I•••left Dec 11, 2018, registered Jan 3, 2019 (23 days) · Other
- S••••••• F•••••••• S•••••••• I••• to E••••••• W••••• P••••••• L••left Jul 19, 2017, registered Jul 20, 2017 (1 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address