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•••••• M•••••• W•••••
- I•••••••• A••••••• S•••••••• independent RIA currentsince Apr 11, 2024 · Dallas, Tx
- I•••••••• A•••••••• L•• BD affiliatedFeb 6, 2024 to Apr 16, 2024 · Bellevue, Wa
- G•••• A•••••••• I••• no RAUMOct 7, 2016 to Jan 3, 2022 · Bothell, Wa
- I•••••••• A•••••••• L•• to I•••••••• A••••••• S••••••••left Apr 16, 2024, registered Apr 11, 2024 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- G•••• A•••••••• I••• to I•••••••• A•••••••• L••left Jan 3, 2022, registered Feb 6, 2024 (764 days) · Other
- S•••••• M•••••• W••••• left I•••••••• A•••••••• L•• for I•••••••• A••••••• S•••••••• (registered 2024-04-11)Apr 16, 2024 · Advisor changed firm · fact
- S•••••• M•••••• W••••• left G•••• A•••••••• I••• for I•••••••• A•••••••• L•• (registered 2024-02-06)Jan 3, 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address