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.
K••••••• K•••••••• D•••••
- N••••••• L••••• A•••••••• I••• independent RIA currentsince Mar 16, 2022 · Seattle, Wa
- P•••• S••••••••• L•• no RAUMApr 7, 2020 to Apr 11, 2022 · Seattle, Wa
- V••• F•••••••• A•••••••• I••• BD affiliatedJan 7, 2020 to Apr 15, 2020 · Fife, Wa
- P•••• S••••••••• L•• to N••••••• L••••• A•••••••• I•••left Apr 11, 2022, registered Mar 16, 2022 (-26 days) · Affiliated broker-dealer or bank to independent RIA
- V••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left Apr 15, 2020, registered Apr 7, 2020 (-8 days) · Affiliated broker-dealer or bank to another
- K••••••• K•••••••• D••••• left P•••• S••••••••• L•• for N••••••• L••••• A•••••••• I••• (registered 2022-03-16)Apr 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address