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.
M•••••• W•••••• K•••••
- B••••••• J•••• L•• independent RIA currentsince Jan 31, 2023 · Seattle, Wa
- M••••••• formerMar 30, 2021 to Jan 2, 2023 · Seattle, Wa
- M••••• S•••••• wirehouseAug 21, 2019 to Mar 25, 2021 · Baton Rouge, La
- E••••• J•••• national BDDec 17, 2018 to Jun 11, 2019 · Geismar, La
- M••••••• to B••••••• J•••• L••left Jan 2, 2023, registered Jan 31, 2023 (29 days) · RIA to RIA
- M••••• S•••••• to M•••••••left Mar 25, 2021, registered Mar 30, 2021 (5 days) · Wirehouse to independent RIA
- E••••• J•••• to M••••• S••••••left Jun 11, 2019, registered Aug 21, 2019 (71 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• W•••••• K••••• left Merriman for B••••••• J•••• L•• (registered 2023-01-31)Jan 2, 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
- Independent wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address