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•••• G••••••• M•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 13, 2026 · Tacoma, Wa
- U•• F•••••••• S••••••• I••• wirehouseApr 28, 2026 to Jul 9, 2026 · Bellevue, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 10, 2017 to Mar 28, 2025 · Bellevue, Wa
- C•••••• S••••• • C••• I••• national BDDec 10, 2014 to Jun 30, 2017 · Seattle, Wa
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jul 9, 2026, registered Jul 13, 2026 (4 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••left Jun 30, 2017, registered Aug 10, 2017 (41 days) · Affiliated broker-dealer or bank to wirehouse
- D•••• G••••••• M••••• left U•• F•••••••• S••••••• I••• for R•• C•••••• M••••••• L•• (registered 2026-07-13)Jul 9, 2026 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address