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.
T••••• M••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 21, 2024 · Falmouth, Me
- A••••••••• F•••••••• S•••••••• L•• national BDJan 17, 2020 to Jul 6, 2021 · Mercer Island, Wa
- E• W••••• M••••••••• independent RIADec 4, 2018 to Jan 2, 2020 · Bellevue, Wa
- M••••• S•••••• wirehouseJul 17, 2018 to Dec 3, 2018 · Seattle, Wa
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 6, 2021, registered Nov 21, 2024 (1234 days) · Affiliated broker-dealer or bank to another
- E• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 2, 2020, registered Jan 17, 2020 (15 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to E• W••••• M•••••••••left Dec 3, 2018, registered Dec 4, 2018 (1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address