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••• R•••• A•••••
- G•••• O•••• G••••• A••••••• L•• former currentsince Aug 22, 2022 · San Francisco, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 20, 2020 to Jul 6, 2022 · Tukwila, Wa
- E•••••• C•••••• M••••••••• L•• formerOct 16, 2018 to Feb 25, 2020 · Seattle, Wa
- P•••••• A•••••• G••••• L•• BD affiliatedJul 18, 2017 to Nov 21, 2017 · Kirkland, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 28, 2014 to Jul 12, 2017 · San Mateo, Ca
- T• A••••••••• I••• formerFeb 28, 2014 to Jul 12, 2017 · San Mateo, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• to G•••• O•••• G••••• A••••••• L••left Jul 6, 2022, registered Aug 22, 2022 (47 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 25, 2020, registered May 20, 2020 (85 days) · RIA to affiliated broker-dealer or bank
- P•••••• A•••••• G••••• L•• to E•••••• C•••••• M••••••••• L••left Nov 21, 2017, registered Oct 16, 2018 (329 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Jul 12, 2017, registered Jul 18, 2017 (6 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 12, 2017, registered Feb 28, 2014 (-1230 days) · channel change inside one enterprise, not a move
- R••• R•••• A••••• left F••••••• P••••••• A•• W•••••••• A••••••• for G•••• O•••• G••••• A••••••• L•• (registered 2022-08-22)Jul 6, 2022 · a•••••• firm change · 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
- Former SEC-registered adviserderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address