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.
A•• J• V•• L•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Oct 24, 2023 · Spokane, Wa
- M••••• G••••• A••••••• I••• independent RIAAug 9, 2022 to Jun 15, 2023 · Denver, Co
- V•••••••• I••••••••• A•••••••• I••• independent RIAJul 1, 2021 to Jul 19, 2022 · Spokane, Wa
- T•• C•••••• W••••• A•••••••• L•• formerJul 28, 2020 to Jun 30, 2021 · Spokane, Wa
- V•••••••• • D••••••• F•••••••• A••••••••• formerOct 8, 2015 to Jul 27, 2020 · Spokane, Wa
- M••••• G••••• A••••••• I••• to H•••••••• A•••••••• L••left Jun 15, 2023, registered Oct 24, 2023 (131 days) · RIA to affiliated broker-dealer or bank
- V•••••••• I••••••••• A•••••••• I••• to M••••• G••••• A••••••• I•••left Jul 19, 2022, registered Aug 9, 2022 (21 days) · RIA to RIA
- T•• C•••••• W••••• A•••••••• L•• to V•••••••• I••••••••• A•••••••• I•••left Jun 30, 2021, registered Jul 1, 2021 (1 days) · RIA to a newly registered adviser · moved with a team
- V•••••••• • D••••••• F•••••••• A••••••••• to T•• C•••••• W••••• A•••••••• L••left Jul 27, 2020, registered Jul 28, 2020 (1 days) · RIA to RIA · moved with a team
- A•• J• V•• L••••• left M••••• G••••• A••••••• I••• for H•••••••• A•••••••• L•• (registered 2023-10-24)Jun 15, 2023 · Advisor changed firm · fact
- A•• J• V•• L••••• left V•••••••• I••••••••• A•••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-08-09)Jul 19, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address