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.
A••••• N••••••• T•••••
- H••••• C••• W••••• M••••••••• independent RIA currentsince Sep 30, 2022 · Bainbridge Island, Wa
- O•••• W•••••• I••• BD affiliatedNov 4, 2020 to Oct 4, 2022 · Scottsdale, Az
- H•••••• T••••••• • K•••• L•• independent RIAJan 15, 2020 to Nov 2, 2020 · Bellevue, Wa
- O•••• W•••••• I••• to H••••• C••• W••••• M•••••••••left Oct 4, 2022, registered Sep 30, 2022 (-4 days) · Affiliated broker-dealer or bank to independent RIA
- H•••••• T••••••• • K•••• L•• to O•••• W•••••• I•••left Nov 2, 2020, registered Nov 4, 2020 (2 days) · corporate re-registration, not a move
- A••••• N••••••• T••••• left O•••• W•••••• I••• for H••••• C••• W••••• M••••••••• (registered 2022-09-30)Oct 4, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address