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.
W••••• R••••• M••••••••
- T•• R••••••••• S••••••• L•• independent RIA currentsince May 5, 2022 · Redmond, Wa
- E••••• J•••• national BDJul 2, 2021 to Mar 11, 2022 · Lynnwood, Wa
- E•••••••• A•••••••• L•• national BDSep 2, 2020 to Jul 14, 2021 · Bellevue, Wa
- E••••• J•••• to T•• R••••••••• S••••••• L••left Mar 11, 2022, registered May 5, 2022 (55 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••••• A•••••••• L•• to E••••• J••••left Jul 14, 2021, registered Jul 2, 2021 (-12 days) · Affiliated broker-dealer or bank to another
- W••••• R••••• M•••••••• left E••••• J•••• for T•• R••••••••• S••••••• L•• (registered 2022-05-05)Mar 11, 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address