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.
- C••• L•• BD affiliated currentsince Jul 16, 2020 · Kennewick, Wa
- F•••••••• M••••••••• I••• formerAug 21, 2019 to Dec 2, 2020 · Yakima, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 25, 2018 to Jul 10, 2019 · American Fork, Ut
- F•••••••• M••••••••• I••• to C••• L••left Dec 2, 2020, registered Jul 16, 2020 (-139 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F••••••• P••••••• A•• W•••••••• A••••••• to F•••••••• M••••••••• I•••left Jul 10, 2019, registered Aug 21, 2019 (42 days) · Affiliated broker-dealer or bank 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address