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••• S••••• S••••• K•••••••
- K•••• C•••••• state registered currentsince Jan 3, 2022 · Bothell, Wa
- I•••••••• F•••••••• C••••••••• independent RIAJan 28, 2020 to Nov 11, 2021 · Jackson, Wy
- M••••• S•••••• wirehouseApr 30, 2018 to Nov 18, 2019 · Kirkland, Wa
- I•••••••• F•••••••• C••••••••• to K•••• C••••••left Nov 11, 2021, registered Jan 3, 2022 (53 days) · RIA to a state-registered adviser
- M••••• S•••••• to I•••••••• F•••••••• C•••••••••left Nov 18, 2019, registered Jan 28, 2020 (71 days) · Wirehouse to independent RIA
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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address