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.
R•••••• C•••••• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 18, 2023 · Ferndale, Wa
- C••••• A•••••• N••••••• L•• formerJan 17, 2017 to Jan 17, 2017 · Ferndale, Wa
- C••• L•• BD affiliatedSep 8, 2015 to Jul 18, 2023 · Ferndale, Wa
- L•• F•••••••• L•• BD affiliatedDec 6, 1991 to Sep 7, 2016 · Ferndale, Wa
- A•••• A•••••••• L•• unclassifiedOct 1, 1984 to Dec 31, 2007 · Bellingham, Wa
- C••• L•• to C••••• A•••••• N••••••• L••left Jul 18, 2023, registered Jan 17, 2017 (-2373 days) · Other
- C••••• A•••••• N••••••• L•• to L•• F•••••••• L••left Jan 17, 2017, registered Jul 18, 2023 (2373 days) · Other
- L•• F•••••••• L•• to C••• L••left Sep 7, 2016, registered Sep 8, 2015 (-365 days) · Other · moved with a team
- A•••• A•••••••• L•• to L•• F•••••••• L••left Dec 31, 2007, registered Dec 6, 1991 (-5869 days) · Other
- R•••••• C•••••• D•••••• left C••• L•• for C••••• A•••••• N••••••• L•• (registered 2017-01-17)Jul 18, 2023 · a•••••• firm change · 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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address