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.
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- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jul 26, 2023 · Phoenix, Az
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJul 2, 2020 to Jul 11, 2023 · Lynnwood, Wa
- T••••••• I••••••••• M••••••••• I••• BD affiliatedApr 5, 2019 to Jun 14, 2020 · Bellevue, Wa
- M••••• O• O•••• I••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••left Jul 11, 2023, registered Jul 26, 2023 (15 days) · RIA to affiliated broker-dealer or bank
- T••••••• I••••••••• M••••••••• I••• to M••••• O• O•••• I••••••• S•••••••• I•••left Jun 14, 2020, registered Jul 2, 2020 (18 days) · Other
- C••••••••• T••••• B••••••••• left M••••• O• O•••• I••••••• S•••••••• I••• for A••••• A•• P••••••• S••••••• (registered 2023-07-26)Jul 11, 2023 · 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address