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.
- M••••• S•••••• wirehouse currentsince May 31, 2023 · Bellevue, Wa
- K•• W••••• A••••••• formerDec 9, 2020 to May 15, 2023 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 30, 2018 to Dec 7, 2020 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseMay 12, 2014 to Aug 30, 2018 · Los Angeles, Ca
- K•• W••••• A••••••• to M••••• S••••••left May 15, 2023, registered May 31, 2023 (16 days) · RIA to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K•• W••••• A•••••••left Dec 7, 2020, registered Dec 9, 2020 (2 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 30, 2018, registered Aug 30, 2018 (0 days) · Wirehouse to wirehouse · moved with a team
- H••••• R••• N••• left K•• W••••• A••••••• for M••••• S•••••• (registered 2023-05-31)May 15, 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address