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•••••• B•••• S•••••••
- T••••••••• F•••••••• P••••••• independent RIA currentsince Sep 12, 2021 · Bellevue, Wa
- L•• F•••••••• L•• BD affiliatedJun 17, 2015 to Dec 16, 2021 · Bellevue, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 14, 2013 to Jun 12, 2015 · Bellevue, Wa
- L•• F•••••••• L•• to T••••••••• F•••••••• P•••••••left Dec 16, 2021, registered Sep 12, 2021 (-95 days) · Affiliated broker-dealer or bank to a newly registered adviser · moved with a team
- V••• F•••••••• A•••••••• I••• to L•• F•••••••• L••left Jun 12, 2015, registered Jun 17, 2015 (5 days) · Other · moved with a team
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address