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.
- O••••••••• • C•• I••• BD affiliated currentsince Aug 11, 2026 · Bellevue, Wa
- M•••••• BD affiliatedJan 2, 2025 to Jul 24, 2025 · Bellevue, Wa
- P•••••• P•••••••• C••••••••• L•• formerSep 17, 2021 to Dec 13, 2024 · Seattle, Wa
- M••••• S•••••• wirehouseFeb 13, 2020 to Jul 20, 2021 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseMar 21, 2017 to Jun 27, 2019 · Seattle, Wa
- W•••• F•••• A••••••• wirehouseDec 8, 2014 to Jun 5, 2015 · Seattle, Wa
- M•••••• to O••••••••• • C•• I•••left Jul 24, 2025, registered Aug 11, 2026 (383 days) · Affiliated broker-dealer or bank to another
- P•••••• P•••••••• C••••••••• L•• to M••••••left Dec 13, 2024, registered Jan 2, 2025 (20 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to P•••••• P•••••••• C••••••••• L••left Jul 20, 2021, registered Sep 17, 2021 (59 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jun 27, 2019, registered Feb 13, 2020 (231 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Jun 5, 2015, registered Mar 21, 2017 (655 days) · Wirehouse to wirehouse
- R••••• T••••••• left Mariner for O••••••••• • C•• I••• (registered 2026-08-11)Jul 24, 2025 · Advisor changed firm · fact
- R••••• T••••••• left P•••••• P•••••••• C••••••••• L•• for Mariner (registered 2025-01-02)Dec 13, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address