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•••• M••••••• H•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 14, 2021 · Bellevue, Wa
- P•••••••• independent RIAOct 20, 2020 to Apr 1, 2021 · Bellevue, Wa
- C••••••••• A••••••• I•• formerApr 16, 2018 to Sep 30, 2020 · Bellevue, Wa
- C••••••••• W••••• M••••••••• independent RIASep 28, 2015 to Apr 18, 2018 · Bellevue, Wa
- P•••••••• to U•• F•••••••• S••••••• I•••left Apr 1, 2021, registered May 14, 2021 (43 days) · RIA to wirehouse
- C••••••••• A••••••• I•• to P••••••••left Sep 30, 2020, registered Oct 20, 2020 (20 days) · corporate re-registration, not a move
- C••••••••• W••••• M••••••••• to C••••••••• A••••••• I••left Apr 18, 2018, registered Apr 16, 2018 (-2 days) · RIA to 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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address