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••••• S•••••• wirehouse currentsince Sep 11, 2023 · Honolulu, Hi
- R•• C•••••• M••••••• L•• national BDAug 4, 2022 to Sep 20, 2023 · Seattle, Wa
- D••• D••••••• • C•• independent RIAMar 21, 2022 to Aug 2, 2022 · Seattle, Wa
- R•• C•••••• M••••••• L•• to M••••• S••••••left Sep 20, 2023, registered Sep 11, 2023 (-9 days) · Affiliated broker-dealer or bank to wirehouse
- D••• D••••••• • C•• to R•• C•••••• M••••••• L••left Aug 2, 2022, registered Aug 4, 2022 (2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- D•••• L•• P••••• left R•• C•••••• M••••••• L•• for M••••• S•••••• (registered 2023-09-11)Sep 20, 2023 · Advisor changed firm · fact
- D•••• L•• P••••• left D••• D••••••• • C•• for R•• C•••••• M••••••• L•• (registered 2022-08-04)Aug 2, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address