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.
- S•••• independent RIA currentsince Aug 22, 2022 · Bellingham, Wa
- L•• F•••••••• L•• BD affiliatedNov 22, 2019 to Aug 12, 2022 · Bellingham, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 16, 2018 to Oct 17, 2019 · Bellingham, Wa
- L•• F•••••••• L•• to S••••left Aug 12, 2022, registered Aug 22, 2022 (10 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Oct 17, 2019, registered Nov 22, 2019 (36 days) · Wirehouse to affiliated broker-dealer or bank
- D••••• J••••• P•••••• left L•• F•••••••• L•• for Savvy (registered 2022-08-22)Aug 12, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address