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•••••• T••••• C••••••
- H•••••• W••••• M••••••••• L•• independent RIA currentsince Apr 17, 2019 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseMar 10, 2016 to Apr 24, 2019 · Seattle, Wa
- P•••• S••••••••• L•• no RAUMApr 10, 2014 to Mar 7, 2016 · Cincinnati, Oh
- W•••• F•••• A••••••• to H•••••• W••••• M••••••••• L••left Apr 24, 2019, registered Apr 17, 2019 (-7 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- P•••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 7, 2016, registered Mar 10, 2016 (3 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address