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.
N••• T•• M••• B••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Mar 27, 2023 · Tukwila, Wa
- S• R• S••••• • A••••••••• I••• independent RIANov 23, 2016 to Mar 25, 2019 · Mercer Island, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 15, 2016 to Oct 21, 2016 · Mercer Island, Wa
- S• R• S••••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 25, 2019, registered Mar 27, 2023 (1463 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S• R• S••••• • A••••••••• I•••left Oct 21, 2016, registered Nov 23, 2016 (33 days) · Other
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